Al analizar los aportes sectoriales sobre la recaudación de impuestos, en este caso el análisis de la patente municipal evidenció que las organizaciones poseen escasos conocimientos sobre este tributo. Por tal razón, el objetivo del estudio es determinar su incidencia en el presupuesto de los Gobiernos Autónomos Descentralizados. La investigación posee un orden cuantitativo de alcance correlacional, pues se determinó la relación de la recaudación presupuestada frente la recaudada e ingresos totales en el año 2017. Mediante el coeficiente de correlación de Pearson se midió la relación de las variables y se identificó una relación lineal directa. Se concluye que, si existe incidencia entre la recaudación del impuesto de patentes y el presupuesto de los municipios. De igual forma, los sectores que han contribuido en la recaudación han sido el sector financiero y comercial. Palabras Clave: patente municipal, ingresos tributarios, presupuesto. Referencias [1]G. Galarza, S. Andrade, y T. Cabezas, «Ley de Propiedad Intelectual. Registro Oficial No 320,» Correos del Ecuador. Quito, Ecuador. LPI. 1998. [En línea].Disponible en: https://www.correosdelecuador.gob.ec/wp-content/uploads/downloads/2015/05/LEY_DE_PROPIEDAD_INTELECTUAL.pdf. [Último acceso: 2020]. [2]F. Cordero y F. Vergara, «Código Orgánico de Organización Territorial Descentralizado. Registro Oficial Suplemento 303 de 19-oct.-2010,» Ministerio de Gobierno. Quito, Ecuador. (COOTAD). 2018. [En línea]. Disponible en: http://www.ambiente.gob.ec/wp-content/uploads/downloads/2018/05/COOTAD.pdf. [Último acceso: 2020]. [3]Ministerio de Economía y Finanzas, «Reglamento del Código Orgánico de Planificación y Finanzas Públicas. Registro Oficial Suplemento 383 de 26-nov.-2014,» 2018. [En línea]. Disponible en: https://www.igualdadgenero.gob.ec/wp-content/uploads/2019/02/Reglamento-del-Código-Orgánico-de-Planificaicón-y-Finanzas.pdf. [Último acceso: 2020]. [4]M. Vera, y J. Martínez, «Propuesta para incrementar la recaudación del impuesto anual por patente para el Gobierno Autónomo Descentralizado Ilustre Municipalidad del Cantón Daule.,» 2018. [En línea]. Disponible en: http://repositorio.ulvr.edu.ec/bitstream/44000/2079/1/T-ULVR-1880.pdf. [Último acceso: 2020]. [5]K. Talacera, «Estrategias Jurídicas y Tributarias para incrementar la recaudación del Impuesto a la Patente en el GAD Municipal de Tulcán.,» Tesis de maestría. Universidad Central del Ecuador. Quito, Ecuador. 2019. [En línea]. Disponible en: http://www.dspace.uce.edu.ec/bitstream/25000/20209/1/T-UCE-0003-CAD-075-P.pdf. [Último acceso: 2020]. [6]L. Villacis, «Gestión de la recaudación del impuesto a la patente municipal y su impacto en el presupuesto financiero en el GAD Municipalidad de Ambato período 2016.,» tesis de Maestría. Universidad Técnica de Ambato. Ambato, Ecuador. 2018. [En línea]. Disponible en: https://repositorio.uta.edu.ec/bitstream/123456789/27587/3/T4234M.pdf. [Último acceso: 2020]. [7]T. Sanclemente, «Recaudación del impuesto de patente a los contribuyentes del Gobierno Autónomo Descentralizado Municipal del Cantón Eloy Alfaro (GADMEA),» tesis de Maestría. Pontificia Universidad Catolica del Ecuador Sede Ambato. Ambato, Ecuador. 2018. [En línea]. Disponible en: https://repositorio.pucesa.edu.ec/bitstream/123456789/1517/1/SANCLEMENTE CAMPAZ TANYA DAYANARA.pdf. [Último acceso: 2020]. [8]G. Urgilés y K. Chávez, «Evolución de la recaudación tributaria y gasto público en el ecuador durante la ultima década,» Visión Empresarial, nº 7, pp. 139-155, 2017. [9]E. Cando, y C. Cárdenas «La correcta fijación del impuesto a la patente municipal y el derecho del contribuyente frente a la falta de homologación de leyes por la discrepancia de la ordenanza 022-2010 frente a la Constitución y el COOTAD, en el cantón Rumiñahui durante el año 201,» 2016. [En línea]. Disponible en: http://www.dspace.uce.edu.ec/bitstream/25000/6908/3/T-UCE-0013-Ab-301.pdf. [Último acceso: 2020]. [10]Asamblea Nacional Constituyente, «Constitución de la República del Ecuador. Registro ofcial 449 de 20 Oct. 2008,» 2018. [En línea]. Disponible en: http://www.ambiente.gob.ec/wp-content/uploads/downloads/2018/09/Constitucion-de-la-Republica-del-Ecuador.pdf. [Último acceso: 2020]. [11]R. Paredes y B. Pinda, «Análisis de la Política Tributaria en la Recaudación Fiscal: caso Ecuador,» Episteme, vol. 5, nº Especial, pp. 674-688, 2018. [12] S. Domínguez, y N. Guayllas, «Determinación de la base imponible para el impuesto de patentes municipales a las actividades económicas cuyos propietarios son personas naturales no obligadas a llevar contabilidad en el cantón Cuenca.,» tesis de Maestría. Universidad Católica de Cuenca. Cuenca, Ecuador 2014. [13]J. Guarco, «El proceso de recaudación de las patentes municipales y su impacto en el presupuesto del Gobierno Autónomo Descentralizado del cantón Riobamba durante el período 2014.,» .,» Tesis de Maestría. UNACH, Chimborazo, Ecuador. 2016. [En línea]. Disponible en: http://dspace.unach.edu.ec/bitstream/51000/1493/1/UNACH-FCP-CPA-2016-0011.pdf. [Último acceso: 2020]. [14]Instituto Nacional de Estadística y Censos, «Directorio de Empresas y Establecimientos 2017,» 2018. [En línea]. Disponible en: https://www.ecuadorencifras.gob.ec/documentos/web-inec/Estadisticas_Economicas/DirectorioEmpresas/Directorio_Empresas_2017/Documentos_DIEE_2017/Documentos_DIEE_2017/Principales_Resultados_DIEE_2017.pdf. [Último acceso: 2020]. [15]L. Ballesteros, «Posibilidades interactivas de R como entorno de trabajo para un análisis dinámico de datos,» 2017. [En línea]. Disponible en: http://tauja.ujaen.es/jspui/bitstream/10953.1/6767/1/Trabajo_Fin_de_Grado_.pdf. [Último acceso: 2020]. [16]M. Triola, Estadística. México. 12va Edición: Pearson Educación, 2013. [17]J. Paz, y M. Cepeda, «Historia de los Impuestos en Ecuador. Visión sobre el régimen impositivo en la historia económica nacional.,» 2015. Servicio de Rentas Internas. Quito, Ecuador. [En línea]. Disponible en: http://www.sri.gob.ec/web/guest/home. [Último acceso: 2020]. [18]J.Torres, «Reforma al Código Municipal en el que se encuentra la ordenanza que regula el impuesto de patentes municipales en el cantón Santo Domingo a fin de incorporar una sección que contemple el ejercicio de la facultad determinadora.,» Tesis de Maestría. UNIANDES, Santo Domingo, Ecuador. 2017. [En línea]. Disponible en: http://dspace.uniandes.edu.ec/bitstream/123456789/7877/1/PIUSDAB024-2018.pdf. [Último acceso: 2020]. ; When analyzing the sector contributions on the collection of taxes, in this case the analysis of the municipal license showed that the organizations have little knowledge about this tax. For this reason, the objective of the study is to determine its impact on the budget of the Decentralized Autonomous Governments. The research has a quantitative order of correlational scope, since the relationship of the budgeted collection versus the collected and total income in 2017 was determined. Using the Pearson correlation coefficient, the relationship of the variables was measured and a linear relationship was identified direct. It is concluded that, if there is an incidence between the collection of the patent tax and the budget of the municipalities. Similarly, the sectors that have contributed to the collection have been the financial and commercial sector. Keywords: municipal patent, tax revenue, budget. References [1]G. Galarza, S. Andrade, and T. Cabezas, «Ley de Propiedad Intelectual. Registro Oficial No 320,» Correos del Ecuador. Quito, Ecuador. LPI. 1998. [En línea].Disponible en: https://www.correosdelecuador.gob.ec/wp-content/uploads/downloads/2015/05/LEY_DE_PROPIEDAD_INTELECTUAL.pdf. [Último acceso: 2020]. [2]F. Cordero and F. Vergara, «Código Orgánico de Organización Territorial Descentralizado. Registro Oficial Suplemento 303 de 19-oct.-2010,» Ministerio de Gobierno. Quito, Ecuador. (COOTAD). 2018. [En línea]. Disponible en: http://www.ambiente.gob.ec/wp-content/uploads/downloads/2018/05/COOTAD.pdf. [Último acceso: 2020]. [3]Ministerio de Economía y Finanzas, «Reglamento del Código Orgánico de Planificación y Finanzas Públicas. Registro Oficial Suplemento 383 de 26-nov.-2014,» 2018. [En línea]. Disponible en: https://www.igualdadgenero.gob.ec/wp-content/uploads/2019/02/Reglamento-del-Código-Orgánico-de-Planificaicón-y-Finanzas.pdf. [Último acceso: 2020]. [4]M. Vera, and J. Martínez, «Propuesta para incrementar la recaudación del impuesto anual por patente para el Gobierno Autónomo Descentralizado Ilustre Municipalidad del Cantón Daule.,» 2018. [En línea]. Disponible en: http://repositorio.ulvr.edu.ec/bitstream/44000/2079/1/T-ULVR-1880.pdf. [Último acceso: 2020]. [5]K. Talacera, «Estrategias Jurídicas y Tributarias para incrementar la recaudación del Impuesto a la Patente en el GAD Municipal de Tulcán.,» Tesis de maestría. Universidad Central del Ecuador. Quito, Ecuador. 2019. [En línea]. Disponible en: http://www.dspace.uce.edu.ec/bitstream/25000/20209/1/T-UCE-0003-CAD-075-P.pdf. [Último acceso: 2020]. [6]L. Villacis, «Gestión de la recaudación del impuesto a la patente municipal y su impacto en el presupuesto financiero en el GAD Municipalidad de Ambato período 2016.,» tesis de Maestría. Universidad Técnica de Ambato. Ambato, Ecuador. 2018. [En línea]. Disponible en: https://repositorio.uta.edu.ec/bitstream/123456789/27587/3/T4234M.pdf. [Último acceso: 2020]. [7]T. Sanclemente, «Recaudación del impuesto de patente a los contribuyentes del Gobierno Autónomo Descentralizado Municipal del Cantón Eloy Alfaro (GADMEA),» tesis de Maestría. Pontificia Universidad Catolica del Ecuador Sede Ambato. Ambato, Ecuador. 2018. [En línea]. Disponible en: https://repositorio.pucesa.edu.ec/bitstream/123456789/1517/1/SANCLEMENTE CAMPAZ TANYA DAYANARA.pdf. [Último acceso: 2020]. [8]G. Urgilés and K. Chávez, «Evolución de la recaudación tributaria y gasto público en el ecuador durante la ultima década,» Visión Empresarial, nº 7, pp. 139-155, 2017. [9]E. Cando, and C. Cárdenas «La correcta fijación del impuesto a la patente municipal y el derecho del contribuyente frente a la falta de homologación de leyes por la discrepancia de la ordenanza 022-2010 frente a la Constitución y el COOTAD, en el cantón Rumiñahui durante el año 201,» 2016. [En línea]. Disponible en: http://www.dspace.uce.edu.ec/bitstream/25000/6908/3/T-UCE-0013-Ab-301.pdf. [Último acceso: 2020]. [10]Asamblea Nacional Constituyente, «Constitución de la República del Ecuador. Registro ofcial 449 de 20 Oct. 2008,» 2018. [En línea]. Disponible en: http://www.ambiente.gob.ec/wp-content/uploads/downloads/2018/09/Constitucion-de-la-Republica-del-Ecuador.pdf. [Último acceso: 2020]. [11]R. Paredes and B. Pinda, «Análisis de la Política Tributaria en la Recaudación Fiscal: caso Ecuador,» Episteme, vol. 5, nº Especial, pp. 674-688, 2018. [12] S. Domínguez, and N. Guayllas, «Determinación de la base imponible para el impuesto de patentes municipales a las actividades económicas cuyos propietarios son personas naturales no obligadas a llevar contabilidad en el cantón Cuenca.,» tesis de Maestría. Universidad Católica de Cuenca. Cuenca, Ecuador 2014. [13]J. Guarco, «El proceso de recaudación de las patentes municipales y su impacto en el presupuesto del Gobierno Autónomo Descentralizado del cantón Riobamba durante el período 2014.,» .,» Tesis de Maestría. UNACH, Chimborazo, Ecuador. 2016. [En línea]. Disponible en: http://dspace.unach.edu.ec/bitstream/51000/1493/1/UNACH-FCP-CPA-2016-0011.pdf. [Último acceso: 2020]. [14]Instituto Nacional de Estadística y Censos, «Directorio de Empresas y Establecimientos 2017,» 2018. [En línea]. Disponible en: https://www.ecuadorencifras.gob.ec/documentos/web-inec/Estadisticas_Economicas/DirectorioEmpresas/Directorio_Empresas_2017/Documentos_DIEE_2017/Documentos_DIEE_2017/Principales_Resultados_DIEE_2017.pdf. [Último acceso: 2020]. [15]L. Ballesteros, «Posibilidades interactivas de R como entorno de trabajo para un análisis dinámico de datos,» 2017. [En línea]. Disponible en: http://tauja.ujaen.es/jspui/bitstream/10953.1/6767/1/Trabajo_Fin_de_Grado_.pdf. [Último acceso: 2020]. [16]M. Triola, Estadística. México. 12va Edición: Pearson Educación, 2013. [17]J. Paz, and M. Cepeda, «Historia de los Impuestos en Ecuador. Visión sobre el régimen impositivo en la historia económica nacional.,» 2015. Servicio de Rentas Internas. Quito, Ecuador. [En línea]. Disponible en: http://www.sri.gob.ec/web/guest/home. [Último acceso: 2020]. [18]J.Torres, «Reforma al Código Municipal en el que se encuentra la ordenanza que regula el impuesto de patentes municipales en el cantón Santo Domingo a fin de incorporar una sección que contemple el ejercicio de la facultad determinadora.,» Tesis de Maestría. UNIANDES, Santo Domingo, Ecuador. 2017. [En línea]. Disponible en: http://dspace.uniandes.edu.ec/bitstream/123456789/7877/1/PIUSDAB024-2018.pdf. [Último acceso: 2020].
Author's introductionThis article examines the process of social differentiation in the context of sex, gender and sexuality, providing insight into the ways in which all three rely on mutually exclusive and dichotomous categories. Intersexuality, transgender and bisexuality are all exceptions to these boxes and the boundaries around them that can call our categorizations and the decisions we make based upon them into question. Given that social inequality and stratification rely on our ability to make clear distinctions between categories (or boxes, as conceptualized here), the existence of individuals, experiences and identities that cross these boundaries problematizes the persistence of inequality.Author recommendsHere I focus on monographs and edited volumes rather than articles. Many of the chapters in these books began life as journal articles. When examining issues related to intersexuality, transgender and bisexuality, it is important to give voice to individual experiences rather than relying solely on 'expert' accounts by outsiders. These recommendations reflect a mix of scholarly approaches (empirical and theoretical) and narratives.Baumgardner, Jennifer. 2007. Look Both Ways: Bisexual Politics. New York: Farrar, Straus and Giroux.Known for her third‐wave feminist work with co‐author Amy Richards, Baumgardner writes here about her experiences as a bisexual woman. She does a fine job of situating her experiences in a broader social and cultural context, offering a nice mix of the personal and the political. This book is an excellent example of the potential of theoretically informed memoir.Fausto‐Sterling, Anne. 2000. Sexing the Body: Gender Politics and the Construction of Sexuality. New York: Basic Books.As a pioneer among biologists questioning the dichotomy between male and female, Fausto‐Sterling challenges us to question our most basic assumptions about sex, gender and sexuality. In this book, she provides both an historical and a biological/medical perspective on the key issues. Her book is an excellent resource for social scientists who may feel ill‐prepared to answer their students' questions about natural‐science perspectives.Hutchins, Loraine and Lani Kaahumanu, eds. 1991. Bi Any Other Name: Bisexual People Speak Out. Los Angeles, CA: Alyson Books.This book of narratives was one of the first to give voice to the diverse experiences of bisexual people. Students reading this book will hear the stories of bisexual women and men, people of different races and religions, making sense of their experiences living outside the conventional boxes of sexuality.Kessler, Suzanne J. 1998. Lessons from the Intersexed. New Brunswick, NJ: Rutgers University Press.Kessler was doing research (talking to physicians, parents of intersexed children and intersexed adults) on these issues before they even appeared on most people's radar. This book examines key questions related to intersexuality, including the 'medical management' that has become so controversial. Kessler includes a glossary of terms that many readers will find useful.Meyerowitz, Joanne. 2002. How Sex Changed: A History of Transsexuality in the United States. Cambridge, MA: Harvard University Press.Historian Meyerowitz provides a detailed overview of the social and cultural development of transsexuality in the United States during the twentieth century. She includes the perspectives of transgendered individuals themselves, as well as the wide‐ranging views of others involved in the debate, from doctors, journalists and lawyers to feminists and gay‐rights advocates.Nestle, Joan, Clare Howell and Ricki Wilchins, eds. 2002. GenderQueer: Voices from Beyond the Sexual Binary. Los Angeles, CA: Alyson Books.This volume of narratives written by people who identify as somehow differently gendered offers students windows into the day‐to‐day lives of people living outside the boxes and on the boundaries. Paired with academic accounts that offer theoretical and conceptual information, this book will show students what it means to live beyond conventional categories – both the pain and the joys of such existences are on display here.Preves, Sharon E. 2003. Intersex and Identity: The Contested Self. New Brunswick, NJ: Rutgers University Press.As one of the first studies to provide first‐person accounts of the experiences of intersexed people, Preves's book offers incredible insights into the consequences of how our society has reacted to intersexuality. Intersex and Identity is also a fine piece of sociology, integrating medical sociology, sociology of gender and the social psychology of Erving Goffman into a compelling theoretical perspective.Rust, Paula C. Rodriguez, ed. 2000. Bisexuality in the United States: A Social Science Reader. New York, NY: Columbia University Press.Rust brings together 30 articles that provide a variety of perspectives on bisexuality, many of them her original contributions to this literature. Anthologies like this one provide an important service, offering overviews of a variety of topics and gathering diverse perspectives in one volume.Serrano, Julia. 2007. Whipping Girl: A Transsexual Woman on Sexism and the Scapegoating of Femininity. Emeryville, CA: Seal Press.Transwoman Serrano provides a compelling account that links our culture's responses to transgender individuals (especially transwomen) to its negative valuation of femininity. Some of what she argues is sure to be controversial; but she examines issues like 'cissexual privilege' (i.e. privileges afforded to those people who do 'normal' genders) as no one else has.Stryker, Susan and Stephen Whittle, eds. 2006. The Transgender Studies Reader. New York, NY: Routledge.While a bit heavy on humanities perspectives, this volume provides an invaluable resource on transgender issues. It gathers important historical documents as well as contemporary perspectives by and about transgender people. Everything from Janice Raymond's infamous diatribe against transwomen to Gayle Rubin's call for feminists to accept and celebrate gender diversity is included here.Online materialsBisexual Resources Center http://www.biresource.org/ This website provides links to 'all things bisexual.' From resources to information about events and conferences to links to bi and bi‐inclusive groups around the world, it can all be found here. Through virtual storefronts, one can purchase books, art and the newest edition of the Bi Resource Guide. Links to 'sibling sites' provide users with access to even more information.Intersex Society of North America website http://www.isna.org/ Intersex Society of North America (ISNA) was one of the first organizations to bring intersexed people together and work to protect their rights. Their site includes a list of frequently asked questions; a section on intersexuality and the law; a library of bibliographies, books and videos; and a section on intersex in the news that also documents mass media portrayals of intersexuality. Note that, in an attempt to get people to rethink the concept of intersexuality, ISNA has started to use the term 'disorders of sexual development.'Trans‐Academics.org website http://www.trans‐academics.org/ This website is a project of the Association for Gender Research, Education, Academia & Action (AGREAA). It provides a reference library, educational materials (including documents on terminology and syllabi), a document for those considering doing research with transgender subjects, links to academic transgender studies programs, and a list of community announcements. Approximately twenty syllabi are posted here.TransBiblio: A Bibliography of Print, AV and Online Resources Pertaining to Transgendered Persons and Transgender Issues http://www.library.uiuc.edu/wst/Transgender%20Bibliography/transbiblio.htm One of the first links on this page is to a list of transgender definitions. Many versions of such a list exist on the Web. Such lists are an important resource for students: most transgender terms are new to them and it helps to have a list to keep referring back to; definitions also provide a good starting point for discussion of relevant issues (e.g., names, pronouns and language). This website indexes: films, autobiography/biography/interviews, cultural and historical studies, other directories and bibliographies, fiction/poetry/drama, literary and cinematic studies, periodicals and journals, photographic and pictorial works, and other websites and online resources. It includes articles on cross‐dressing, gender identity and expression, intersexuality, legal and employment issues, medical and health issues, psychology and counselling, public policy, religion/ethics/spirituality, theory and politics, and transsexualism (general, female‐to‐male and male‐to‐female).FilmsThere are a number of feature films about transgender and bisexual topics, some better than others. Boys Don't Cry (Kimberly Peirce, 1999) and Transamerica (Duncan Tucker, 2005) provide much material for discussion. Note that Boys Don't Cry is very violent at the end (it depicts the rape and murder of Brandon Teena and is based on a true story). Chasing Amy is one of the few feature films that provides a complex portrait of bisexuality. Here are a few documentaries to consider. Hermaphrodites Speak (Cheryl Chase, 1997, 30 minutes)The camera work leaves something to be desired and the voices are sometimes difficult to hear – but this is a film that should not be missed. A small group of intersexed people gathered at the first Intersex Society of North America conference to talk about their experiences. They sit together outside on a blanket, talking matter of factly and compellingly about their lives. (Available for purchase at ISNA website.) No Dumb Questions (Melissa Regan, 2001, 24 minutes)This short film documents the experiences of a family (mother, father and three daughters, ages 6, 9 and 11) who has learned that Uncle Bill is becoming Aunt Barbara. The focus is on the reactions of the various family members; Barbara appears only briefly (but significantly, as this is the first time the family has seen her as a woman) in the film. The different reactions of the daughters provide much material for class discussion. (Available for purchase from various outlets, including nodumbquestions.com.) Southern Comfort (Kate Davis, 2001, 90 minutes)Transman Robert Eads is dying from ovarian cancer. This film documents his life and family, providing a compelling portrait of the failure of the medical profession to provide care to transgender individuals and of the creation of support networks by trans people. Of all the films I have ever shown in a class, none has outraged my students more than this one. It does an excellent job of showing the daily lives of transgender folks and documenting their loves and struggles. (Available for purchase from various outlets.)Sample syllabus Topics for lecture and discussion Week I: Making Sense of Sex, Gender and Sexuality Reading:Connell, Robert William. 2002. 'Difference and Bodies.' Pp. 28–52 in Gender. Malden, MA: Polity Press.Jackson, Stevi. 2005. 'Sexuality, Heterosexuality and Gender Hierarchy: Getting Our Priorities Straight.' Pp. 15–37 in Thinking Straight: The Power, the Promise and the Paradox of Heterosexuality. New York, NY: Routledge.Johnson, Allan. 2005. 'Ideology, Myth, and Magic: Femininity, Masculinity and "Gender Roles".' Pp. 78–98 in The Gender Knot: Unraveling our Patriarchal Legacy (revised and updated edition). Philadelphia, PA: Temple University Press.Lorber, Judith. 1994. '"Night to His Day": The Social Construction of Gender' and 'Believing Is Seeing: Biology as Ideology.' Pp. 13–54 in Paradoxes of Gender. New Haven, CT: Yale University Press. Weeks II–III: Beyond Dichotomies The Social Construction of Sex Reading:Fausto‐Sterling, Anne. 2000. 'The Five Sexes, Revisited.'The Sciences 40: pp. 18–23.Preves, Sharon E. 2003. 'Beyond Pink and Blue.' Pp. 1–22 in Intersex and Identity: The Contested Self. New Brunswick, NJ: Rutgers University Press. The Social Construction of Gender Reading:Dozier, Raine. 2005. 'Beards, Breasts and Bodies: Doing Sex in a Gendered World.'Gender & Society 19: 297–316.Lucal, Betsy. 1999. 'What It Means to Be Gendered Me: Life on the Boundaries of a Dichotomous Gender System.'Gender & Society 13: 781–797. The Social Construction of Sexualities Reading:Ault, Amber. 1999. 'Ambiguous Identity in an Unambiguous Sex/Gender System: The Case of Bisexual Women.' Pp. 167–185 in Bisexuality: A Critical Reader. New York, NY: Routledge.Clausen, Jan. 1999. 'Introduction.' Pp. xv–xxix in Apples and Oranges: My Journey through Sexual Identity. Boston. MA: Houghton Mifflin.Putting It All Together ...Reading:Lucal, Betsy. 2008. 'Building Boxes and Policing Boundaries: (De)Constructing Intersexuality, Transgender and Bisexuality.'Sociology Compass 2: 519–536, DOI: 10.1111/j.1751-9020.2008.00099.x.Etc ...Focus questions
What are some ways in which our society supports the idea that sex, gender and sexuality each comprise two mutually exclusive categories? In other words, how do we contribute to building the boxes that Lucal discusses? Think of an experience from your own life that was a result of people (perhaps yourself) policing the boundaries of the sex, gender or sexuality categories. Describe this experience (its context, your reaction, etc.). How did it feel to be policed in this way? How does 'policing' relate to the concept of norms? Imagine that you are the parent of an infant born with an intersexed condition. What would you do? What are the pros and cons of medical and surgical intervention? How do these considerations relate to the concept of boxes and boundaries? Consider a day in the life of a transgendered person, from waking up in the morning to going to bed at night. List all the times throughout the day when this person will be expected to place themselves in one of the gender boxes. Reflect on your list: What would a day in this life be like? Make a list of stereotypes of and slang terms for bisexuals, gays and lesbians (together and separately) and heterosexuals. How are these lists similar and different? How do these lists relate to the idea of boxes and boundaries?
Seminar/project idea Individual project: considering the wider social context Choose a social institution (e.g. family, education, mass media, religion, health and medicine) related to sex, gender and sexuality. Within that social institution, choose a narrower topic (e.g. access to health care, having and raising children, sitcom images). Do some research on how this specific topic relates to the lives of intersexed, transgender and bisexual individuals. Prepare an oral presentation for your class in which you compare and contrast the issues facing these three groups in the context of this topic. (Keep in mind, of course, that individuals might be members of more than one of these groups.) How are the issues facing each group in this context similar? How are they different?
El presente artículo busca hacer una breve conceptualización del agotamiento del derecho marca de acuerdo a lo dispuesto por la legislación comunitaria europea, ya que para los bloques económicos suramericanos, en especial para la Comunidad Andina de Naciones (can), constituye un referente de cómo se ha logrado equilibrar los intereses de los agentes del mercado fomentando la libre competencia y la libre circulación de mercancías. Por lo tanto, mediante este análisis será posible determinar cuáles son los retos y debates que afrontan los países suramericanos sobre este tema. ; Derecho de marca; Agotamiento del derecho de marca; Mercado comunitario; Importaciones paralelas ; enero/junio 2015 ISSN: 0120-3754 Las PYME en América Latina, Japón, la Unión Europea, Estados Unidos y los clúster en Colombia Ángel Emilio Muñoz Cardona María Patricia Mayor López Movilidad urbana: cómo de nir el sistema de trans-porte público colectivo (SITP) en Bogotá Crispiniano Duarte Vega Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones Laila Katrina del Pilar Rojas Santana La participación del Instituto Nacional Electoral en las elecciones de Juntas Auxiliares en México Román Sánchez Zamora Gabriel Miranda Trejo Yunuén Catalina Reyes Archundia La adopción de las TIC con actitud crítica en el sector de la educación por parte del gobierno electrónico de Bogotá D. C. Un caso de éxito Jairo Augusto Ortegón Bolívar Las empresas como formadoras de identidad individual y grupal en la sociedad a partir de la fenomenología Germán Rubio Guerrero Luis Alfredo Muñoz Velasco Fernando Adolfo Fierro Celis Gestión para resultados en el desarrollo: hacia la construcción de buena gobernanza Sergio Alberto Chica Vélez Análisis de la estructura interna de los "grupos económicos" en Colombia en la transición del siglo XX al XXI Juan Sergio Cruz 61 45 Calle 44 n.º 53-37 CAN PBX 220 27 90 l FAX 315 25 60 A.A. 29745 l Bogotá, D.C. 40 41 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones* Laila Katrina del Pilar Rojas Santana Autora Laila Katrina del Pilar Rojas Santana Administradora pública, docente. Magíster en Análisis Económico del Derecho y las Políticas Públicas de la Universidad de Salamanca. Profesora de la Corporación Universitaria Minuto de Dios, Seccional Bello, Facultad de Ciencias Económicas y Administrativas Correo electrónico: rojaslaila@gmail.com Dirección postal: Carrera 96 b n.° 17b-40, apto 104, int. 10, Fontibón, Bogotá D. C. Fecha de recepción: 10.06.2015 Fecha de aprobación: 5.09.2015 Resumen El presente artículo busca hacer una breve conceptualización del agotamiento del derecho marca de acuerdo a lo dispuesto por la legislación comunitaria europea, ya que para los bloques económicos suramericanos, en especial para la Comunidad Andina de Naciones (can), constituye un referente de cómo se ha logrado equilibrar los intereses de los agentes del mercado fomentando la libre competencia y la libre circulación de mercancías. Por lo tanto, mediante este análisis será posible determinar cuáles son los retos y debates que afrontan los países suramericanos sobre este tema. Palabras clave: Derecho de marca, agotamiento del derecho de marca, mercado comunitario, importaciones paralelas. Abstract This paper presents research results on the identification of shortco-mings that communities suffer regarding the quality in the provision of touristic services and management of this economic activity. From there, a training process in touristic services is proposed with emphasis on community tourism strategies, as well as management tools that facilitate the integration of different agencies and communities of the sector. The text discusses, first, an approach to the concept of commu-nity tourism and its state of the art. Secondly, it presents the diagnostic and composition of the touristic product in the districts of Ciudad Bolivar, Usme and Sumapaz in the Colombian Capital City of Bogotá. Then, the article reviews the current activities of these communities in community tourism, under the auspices of the district government and some institutions such as universities and NGOs. Finally, quantitative and qualitative findings reached with the fieldwork, shown in tabulated results of surveys, observation and interview inquiries made by resear-chers and assistants are described. Keywords: tourism, empowerment, strategic plan, development. Resumo O presente artigo expõe os resultados da investigação de falências que têm as comunidades com relação à qualidade na prestação dos serviços turísticos e a gestão administrativa desta atividade econômi-ca. Daí, é proposto um processo de formação em serviços turísticos com ênfase nas estratégias de turismo comunitário, assim como nas ferramentas administrativas e de gestão que permitam a integração dos diferentes organismos e comunidades do setor. O texto aborda, no primeiro lugar, uma aproximação ao conceito de turismo comunitário e seu estado da arte. No segundo lugar, apresenta os diagnósticos e a composição do produto turístico nas localidades de Ciudad Bolívar, Usme e Sumapaz no Distrito Capital de Bogotá. Depois, resenha as atividades que são desenvolvidas atualmente nestas comunidades em matéria de turismo comunitário, sob o auspicio do governo distrital e algumas entidades como universidades e ONGs. Para finalizar, são descritos os avindos quantitativos e qualitativos alcançados com o tra-balho de campo, representado em resultados tabulados das pesquisas, indagações, observações participantes e entrevistas efetuadas pelos investigadores e auxiliares. Palavras chave: turismo, empoderamento, plano estratégico, desen-volvimento. * Este artículo fue redactado a partir de la tesis de grado "Agotamiento del derecho de marca", adelantada para optar al título de Máster en Análisis Económico del Derecho y las Políticas Públicas, ofrecido por la Universidad de Salamanca Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 42 43 1. Introducción El agotamiento del derecho de marca ha sido un tema recurrente en las legislaciones internas de propiedad indus-trial y en los bloques económicos con el fin de impulsar el libre comercio. Es una pieza angular que permite la libre de circulación de mercancías, la libre competencia en la distribución de productos en el mercado interior y, por lo tanto, un resultado eficiente del mercado al aumentar la competencia en la distribución y generar efectos positivos para el consumidor. Actualmente existe un amplio análisis de agotamiento del derecho de marca en el Espacio Económico Europeo (eee) gracias a los abundantes pronunciamientos del Tribunal de Justicia de la Comunidad Europea (tjce) porque el ago-tamiento es un instrumento clave para la libre circulación de mercancías y la libre competencia en la distribución de productos en el mercado interior comunitario. Es decir, el agotamiento de derechos de propiedad intelec-tual, y en particular el agotamiento del derecho de marca, se erige en un mecanismo jurídico fundamental para la construcción de un mercado único europeo sin fronteras geográficas ni políticas, regido por la libre competencia. Así pues, la concepción del agotamiento de marca es un punto de partida que nos permite comparar cómo este se ha desarrollado en otros ordenamientos comunitarios o regionales, en especial en el principal bloque económico suramericano: la Comunidad Andina de Naciones (can). 2. Derechos exclusivos otorgados por la marca y el agotamiento del derecho de marca Los bienes que hacen parte de la propiedad industrial tienen como función principal impulsar la competencia en el mercado. Las marcas, como propiedad intelectual, son una creación del intelecto derivada del talento humano y constituyen, como signos distintivos fruto de la creación, un bien incorporal o inmaterial al que la ley protege a través de norma especial, otorgando a su titular un derecho exclu-sivo sobre ellas (Bercovitz, 2002; Fernández, 2001). Las marcas son signos distintivos que fomentan la competencia en el mercado al evitar el riesgo de asociación y confusión entre los usuarios y, así mismo, otorgan una posición en el mercado a los productos bajo la marca. Una marca, entendida como cualquier signo que sea apto para distinguir productos o servicios en el mercado (Decisión 486, 2000, art. 134), cumple cuatro funciones principales en el plano económico: la función indicadora del origen empresarial, la función indicadora de la calidad de los productos o servicios, la función publicitaria y la función de condensación de la reputación o goodwill de la marca. Es un instrumento que les permite a los empresarios su actuación en el mercado y sirve para asegurar que todos los productos o servicios distinguidos con ella tienen el mismo origen empresarial (Bercovitz, 2008, p. 124), así mismo, la marca constituye el control de garantía por la cual una empresa es responsable de la calidad (Tribunal de Justicia de la Comunidad Europea, 2002, C-299/99, p. 10). y permite a su titular organizar su participación en el mercado y la comercialización de sus productos o servicios dentro del mismo (Bercovitz, 2008, p. 125). Por último, la marca es de gran utilidad para la protección de los consumidores, en la medida en que permite identi-ficar y distinguir los diversos productos o servicios que se ofrecen, posibilitando así la elección entre ellos (Bercovitz, 2008, p. 125). En este sentido, la reputación que genera la marca es una herramienta del mercado para evitar las ineficiencias causadas por la asimetría de la información entre consumidores y productores, así, esta busca el buen funcionamiento del mercado mediante la transparencia de la información y, por lo tanto, logra una competencia leal. Dadas las anteriores características, el titular de la marca adquiere una posición jurídica cuyo contenido esencial es el derecho exclusivo sobre la marca (Galán, 2008, p. 532). Sobre el particular, la can establece que: El registro de una marca confiere a su titular el derecho de impedir a cualquier tercero realizar, sin su consentimiento, los siguiente actos: a) aplicar o colocar la marca o un signo distintivo idéntico o semejante sobre productos para los cuales se ha registrado la marca […], b) suprimir o modificar la marca con fines comerciales, después de que se hubiese aplicado o colocado sobre los productos para los cuales se ha registrado la marca […]; c) fabricar materiales que reproduzcan o contengan la marca, así como comercializar o detentar tales materiales […], d) usar en el comercio un signo idéntico o similar a la marca respecto de cualesquiera productos o servicios, cuando tal uso pudiese causar confusión o un riesgo de asociación con el titular del registro […], e) usar en el comercio un signo idéntico o similar a una marca notoriamente conocida respecto de cualesquiera productos o servicios, cuando ello pudiese causar al titular del registro un daño económico o comercial injusto por razón de una dilución de la fuerza distintiva o del valor comercial o publicitario de la marca, o por razón de un aprovechamiento injusto del prestigio de la marca o de su titular, entre otros. (Decisión 486, 2000 art. 155) El derecho conferido por la can, así como la mayoría de ordenamientos, hace referencia a la vertiente negativa del derecho de marca ius prohibendi, ya que la marca es un bien inmaterial en el que cabe la utilización y posesión simultá-nea por otros, por lo cual, para crear una escasez artificial es esencial que se reconozca la prohibición de utilización de la marca a terceros. De esta manera, el titular de la marca tiene derecho le-gítimo a su uso, a introducir, comercializar, publicitar, importar, exportar, almacenar, transportar o vender los productos o servicios identificados con la marca en el mercado (Superintendencia de Industria y Comercio, 2008, p. 33) y autorizar a un tercero a usar la marca a través de las licencias. Sin embargo, el derecho del titular de la marca no es absoluto (Concepto 02007889, 2002, párr.19), ya que el derecho de exclusividad supone una restricción al libre comercio. El derecho de exclusión otorgado al titular no tiene como finalidad prohibir todos los usos de la marca, sino limitar los actos o los usos de la marca susceptibles a causar confusión en el público, por lo tanto, cuando no hay riesgo de confusión, no hay acto de infracción de marca (De las Heras, 1994, p. 113). En consecuencia: Una vez la marca ha cumplido su función no puede tolerarse el mantenimiento de aquellos derechos, ya que ello supondría permitir al titular de la marca controlar, de forma injustificada y en contra de los principios competitivos, la ulterior comercialización de los productos realizada al amparo de aquel derecho exclusivo. (Fernández, 1990, p. 171) Por consiguiente, el titular de la marca tiene un monopolio de decisión sobre la forma, modo de comercialización, cantidad, precio, calidad características esenciales, etc., otorgado por el derecho exclusivo de la marca, hasta la primera venta del producto. Pero una vez comercializado el producto, el titular pierde el control sobre las sucesivas comercializaciones, a menos que venda directamente el producto al consumidor final o lo haga mediante canales de distribución (Martin, 2001, p. 72). Es necesario señalar que mientras el mercado común se basa en la libre circulación de mercancías, el derecho de marca, restringe esa libertad de circulación y competencia al reconocer el derecho del titular de la marca a oponerse a la comercialización ulterior de los productos contraseñados con la marca. En este sentido, el derecho de marca y la libre circulación de mercancías son opuestos. No obstante, el principio de agotamiento del derecho de marca permite conciliar los intereses del titular de la marca y del público contra los actos de confusión, así como de los importadores paralelos. De esta manera, la función de la marca cumple un doble papel en la libre competencia. Por una parte la restringe, al excluir a los demás de participar en una actividad económi-ca específica, y por la otra, favorece la actividad competitiva (Parra, 2002, p. 23). Por lo anterior, las normas sobre defensa de la libre compe-tencia, respecto a las marcas, han buscado no solo impedir las restricciones a la libertad de competencia sino también Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 44 45 las restricciones al principio de libre circulación (Roncero, 1999, p. 351). El Tribunal de Justicia de la Comunidad Económica Europea (tjcee) sostiene que el titular de la marca tiene el derecho exclusivo sobre la primera comercia-lización del producto, protegiéndolo de competidores que pretendan abusar de la posición y del prestigio de la marca vendiendo productos designados indebidamente con ella (Asunto 17/74, 1974, p. 486). Pero una vez cumplidos los fines esenciales de la marca, el titular del derecho no puede limitar la libre circulación de las mercancías invocando este derecho (Roncero, 1999, p. 353). Si no se agota el derecho exclusivo del titular de la marca después de la primera comercialización, se generaría un obstáculo a la libre circulación de mercancías y con ello a la libre competencia en la distribución, ya que el titular podría invocar el ius prohibendi para oponerse a cualquier comercialización ulterior del producto, aun cuando no esté justificado. Además, como lo señala el tjcee, el titular de la marca tendría la posibilidad de compartimentar los mercados nacionales, dando lugar con ello a una restricción en el comercio entre los Estados miembros, sin que dicha restricción sea necesaria para garantizar el contenido del derecho exclusivo derivado de la marca (Asunto 17/74, 1974, p. 486 ). En definitiva, puede decirse que la regla del agotamiento constituye una norma promotora de la libre competencia insertada en la legislación de propiedad intelectual y, en particular, en la legislación marcaria, para limitar (o de-limitar) el alcance del derecho exclusivo en pro de la libre competencia en el sector de la distribución de mercancías. Ante la creciente expansión de redes de distribución con-troladas por el fabricante o licenciatarios de su marca, el agotamiento se muestra como un engranaje fundamental para facilitar el comercio paralelo o mercados grises en el sector de la distribución comercial; siempre que con ello no se afecte negativamente las funciones esenciales de la marca, los intereses del titular de la misma ni de los con-sumidores o usuarios en la capacidad de elección libre de las opciones que se ponen a su disposición en el mercado. El sistema de marcas es un instrumento destinado a pro-mover la libre competencia: la marca es un instrumento para competir. Su función esencial es permitir identificar los productos y permitir que los consumidores se informen. En este sentido, el derecho otorgado por la marca no tiene como fin que el titular de la marca controle la posterior distribución de las mercancías ni busca restringir la libre competencia (Martin, 2001, p. 73). Sin embargo, así como el derecho exclusivo de la marca no es absoluto, el agotamiento tampoco lo es, ya que este no se aplica cuando existen motivos legítimos que justifiquen que el titular se oponga a la comercialización ulterior de los productos. Esta excepción al agotamiento de marca se justifica en la medida en que se busca salvaguardar las funciones del signo. Por lo tanto, el titular de la marca podrá oponerse a la co-mercialización del producto contraseñado una vez agotado su derecho cuando exista el riesgo de crear confusión en el público acerca de las características esenciales del producto o de su origen empresarial (Martin, 2001, p. 73). Si el ti-tular de la marca no pudiera imponer su ius prohibendi en los casos en los que se realicen actos que puedan generar confusión en el público, no solo se estarían vulnerando los derechos de los consumidores, sino que no se protegería la lealtad de la competencia en el mercado. La can ha incluido en su legislación de marcas la posibi-lidad de que el titular de la marca se oponga a la posterior comercialización de los productos contraseñados, aunque, como veremos, poco se han desarrollado estas excepciones. 3. Clases de agotamiento de derecho de marca Existen tres regímenes de agotamiento del derecho de marca: el agotamiento nacional, el comunitario y el inter-nacional. Cada uno de ellos genera posiciones distintas del titular de marca frente a importadores paralelos. El agotamiento nacional se produce cuando el producto es comercializado por primera vez por el titular de la marca o por un tercero con su consentimiento en el mercado nacio-nal. Así, el agotamiento del derecho está supeditado a que la primera comercialización se haya producido dentro del país. Esta opción es adoptada en aras de la unidad del mer-cado nacional y del libre comercio interior (De las Heras, 1994, p. 26) y ha sido implementada por países como Brasil. El agotamiento comunitario se origina cuando el producto es comercializado por primera vez por el titular de la mar-ca o por un tercero con su consentimiento en el mercado comunitario o regional. En este caso, el agotamiento del derecho supone como requisito que la primera comer-cialización del mismo se produzca dentro del mercado comunitario o regional. Este régimen tiene como objetivo el fortalecimiento y la libertad de comercio en el mercado común (De las Heras, 1994, p. 26), y supone la creación de una barrera al comer-cio internacional (Martin, 2001, p. 31). De esta manera, se configura el "agotamiento comunitario como excluyente del agotamiento internacional" (Ruiz, 2005, p. 353). La Unión Europea (ue) es, por excelencia, el representante de esta clase de agotamiento. Finalmente, el agotamiento internacional se produce cuan-do el producto es comercializado por el titular de la marca o por un tercero con su consentimiento en cualquier país, es decir, en el mercado nacional, comunitario o regional, o en un mercado extranjero. El agotamiento internacional signi-fica "la libertad plena de las importaciones y subsiguientes ventas paralelas de los productos de la marca auténtica en el Estado importador en que esa marca estuviese registrado" (Martin, 2001, p. 27). Este régimen de agotamiento ha sido adoptado por la can y por Estados Unidos. La elección entre el régimen comunitario y el régimen internacional ha generado varios debates en la ue. Diversos han sido los argumentos que se han señalado para mante-ner el régimen comunitario del agotamiento del derecho de marca, entre ellos que la adopción del agotamiento internacional haría que las compañías europeas tuvieran que enfrentarse a una competencia en desventaja, ya que el proceso de integración no ha ocurrido todavía en el ámbito mundial. Sobre el particular, el Comité Económico y Social Europeo emitió un dictamen sobre el agotamiento de los derechos conferidos por la marca. En el documento se sostiene que el régimen actual mantiene una cierta calidad de los productos y unos servicios postventa, características que los importa-dores paralelos no proveen a los consumidores europeos. Así mismo se señala que un cambio de régimen a largo plazo podría inhibir la inversión en nuevos productos o hacer que marcas registradas retirasen productos ya es-tablecidos en el mercado ante la falta de competitividad con los productos importados. También establece las grandes diferencias en materia de normas socio-laborales, administrativas y medio ambientales entre la ue y aquellos países en los que los importadores paralelos se proveen de los productos. Sostiene que el agotamiento comunitario garantiza que los consumidores europeos cuenten con la disponibilidad de los productos en todas sus posibilidades y gamas; y que un régimen de agotamiento internacional puede favorecer el aumento de productos falsificados en la ue, lo que generaría un efecto negativo sobre el crecimiento económico europeo (2001/C 123/05, 2001, pp. 31-32). De acuerdo con el dictamen, los aspectos positivos del agotamiento del derecho internacional referente a la dismi-nución de los precios en beneficio de los consumidores son contrarrestados por la consideración de que la introducción de nuevas tecnologías genera que los consumidores puedan acceder a una gran variedad de productos a precios más bajos (2001/C 123/05, 2001, p. 32 ). Respecto al comercio con terceros países ha señalado que no se puede comparar la integración europea y el esfuerzo por terminar con las barreras que impiden la libre circula-ción de mercancías con otros procesos, además, dado que las compañías europeas que compiten en un mercado global tienen que enfrentarse a compañías con costes bastante más bajos a los europeos en materia de producción, el régimen de agotamiento comunitario defiende de alguna manera a estas compañías, así como a las compañías no europeas que trabajan en el mercado único. Algunos autores indican que "el agotamiento comunitario no solo no beneficia a las empresas de la ue, sino que las perjudica" (Fernández, 2005, p. 32), ya que se ven discri-minadas en la medida en que las empresas comunitarias que fabrican en países comunitarios ven agotado su derecho de marca con la primera comercialización del producto en países comunitarios (De las Heras, 1994, p. 35). También se ha dicho que las empresas importadoras comuni-tarias se ven afectadas en la medida en que las importaciones de productos auténticos comercializados por el titular de la marca o con su consentimiento en terceros Estados pueden ser impedidas por el titular de la marca. Igualmente, los consumidores se ven afectados, ya que no pueden disfrutar del aumento de la competencia y, por ende, de la disminución de precios y el aumento de la oferta. 4. Agotamiento del derecho de marca e importaciones paralelas El agotamiento del derecho de marca está íntimamente relacionado con las denominadas importaciones paralelas (Fernández, 2005, p. 1) o, en términos más generales, el comercio paralelo o comercio gris. Este último se produce cuando el precio en un país exportador es más bajo que en el país importador, de tal manera que los comerciantes parale-los aprovechan la diferencia de precios y ofrecen los produc-tos importados, a precios más bajos, en el país exportador. Estos dos temas adquieren relevancia debido a la supresión de barreras al comercio, suscritas tanto en los mercados comunes como en los tratados de libre comercio (tlc) suscritos de manera bilateral y multilateral. Así, la apertura de los mercados facilita la libre circulación de bienes, no obstante, "también aumenta la producción y distribución de falsificaciones de los productos originales de la marca" (Fernández, 2005, p. 4), lo que permite la aparición del mercado gris. Como lo señalan los análisis de distintos autores (Fernán-dez, 2005, p. 3), en el agotamiento del derecho y de las importaciones paralelas entran en conflicto los intereses Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 46 47 de varios agentes del mercado. Por una parte, el titular de la marca busca impedir las importaciones paralelas, no solo para conseguir vender a precios más altos, sino para evitar que esas importaciones infrinjan sus intereses legítimos en la medida en que las modificaciones o alteraciones a los productos, para facilitar su introducción en el mercado importador, menoscaban la reputación de la marca o per-judican la garantía de origen. Los consumidores, por otro lado, se ven beneficiados en la medida en que el libre comercio aumenta el número de productos entre los que puede elegir, y genera un aumento de competencia que disminuye los precios, ya que estos se acercan al coste marginal (Mankiw, 2008, p. 241). Por con-siguiente, se han buscado mecanismos que equilibren tanto los derechos del titular de la marca como los de los consu-midores, facilitando así la libre circulación de mercancías. 5. Agotamiento del derecho de marca en la can La búsqueda de integración de Bolivia, Ecuador, Colom-bia, Perú y Chile se llevó a cabo mediante el Acuerdo de Cartagena (ac), suscrito en el año 1969, acuerdo que tiene como objetivo promover el desarrollo de los países miem-bros mediante la integración y la cooperación económica y social, con miras a la formación gradual de un mercado común latinoamericano. De esta manera, la can, conocida en ese entonces como el Pacto Andino, se puso en marcha. En 1973 Venezuela se adhirió al acuerdo y se retiró en 2006, así mismo, en 1976 Chile abandono la can. Uno de los objetivos para llevar a cabo esta integración fue el programa de liberación, que tiene por objeto "eli-minar los gravámenes y las restricciones de todo orden que incidan sobre la importación de productos originarios del territorio de cualquier país miembro" (Decisión 563, 2003, art. 72). Más adelante surgieron otros intentos, tales como el acta de La Paz, firmada en 1990, que tenía entre sus objetivos conformar una zona de libre comercio al 31 de diciembre de 1991 mediante la aceleración del programa de liberali-zación para la desgravación automática; y el acta de Bara-hona, firmada en 1991, que establecía el funcionamiento de la zona de libre comercio a partir de 1992, que empezó a funcionar finalmente a partir de 1993. En materia de propiedad industrial, la can se ha pronun-ciado mediante la Decisión 85 de 1974, que fue reem-plazada por la Decisión 313 de Régimen Común sobre Propiedad Industrial, en el año 1991. Actualmente rige la Decisión 486 del 1.° de diciembre de 2000, por medio de la cual se adopta el nuevo Régimen Común sobre Propiedad Industrial. Tal como lo afirma Rubio (1996), citado por Parra (2002, p. 24), en función del libre comercio, la Decisión 486 del 1.° de diciembre de 2000 utiliza, entre otros mecanismos, el agotamiento del derecho de marca y la admisión de las im-portaciones paralelas "para garantizar que el ejercicio de los derechos derivados de la propiedad industrial no desborde el límite impuesto por un sistema de libre competencia". La importancia del agotamiento del derecho de marca en la can radica en que es un instrumento que permite consolidar un mercado común. Este precepto adquiere aún más relevancia si se tienen en cuenta el proceso y los esfuerzos adelantados por los países miembros para crear un mercado común en el marco de un proyecto integrador (Basombrio, 2004, p.14) En la can, a diferencia de otros ordenamientos comunita-rios, en especial del eee, el derecho que otorga el registro de la marca se limita al territorio en el que se otorga la respectiva concesión, y esta no puede extenderse más allá del territorio del respectivo Estado (Concepto 02065886, 2002, párr.2). Esta interpretación se desprende de lo establecido en el artículo 154 de la Decisión 486 (2000), que señala que el derecho al uso exclusivo de una marca se adquirirá por el registro de la misma ante la respectiva oficina nacional competente. Respecto al comercio paralelo, los países miembros de la can lo han señalado como "una consecuencia lógica de economías liberalizadas", y que por lo tanto han reconoci-do que ese tema "va a adquirir mayor importancia con el aumento del tráfico de mercancías entre Estados" (Organi-zación Mundial de la Propiedad Intelectual, 2002, p. 15). Aun cuando su importancia es evidente, el desarrollo de los supuestos en los cuales se produce el agotamiento, así como las excepciones que le permiten al titular oponerse a la comercialización de los productos contraseñados, no han sido tan desarrollados como en el eee. Como lo indica Lombeyda (2013, p. 192) el tjca no se ha pronunciado frente al agotamiento del derecho de mar-ca, únicamente ha realizado breves referencias al tema. Igualmente, la doctrina andina se ha limitado a un aná-lisis superficial, aun cuando la importancia del desarrollo de supuestos en los cuales se produce el agotamiento, así como las excepciones que permiten al titular oponerse a la comercialización de los productos contraseñados, es evidente, lo que indica que el grado de integración de los países miembros es todavía incipiente. Finalmente, cabe resaltar que los países miembros de la can señalan tres consecuencias específicas del comercio paralelo generado por la adopción del agotamiento inter-nacional del derecho de marca. Para el titular de la marca, es relevante Cuando existe una diferencia de precios sustancial […], ya que en ese momento es que a él le interesaría obtener una compensación del importador paralelo. Para los consumidores implica un aumento de la oferta del producto original, una competencia de precios y una disminución de los precios, así como fuentes alternativas de obtención. Para el sistema de libre empresa, entre los beneficios reconocidos se encuentran el fomento a competencia, una mejor satisfacción de la demanda y el incremento de la oferta. (Organización Mundial de la Propiedad Intelectual, 2002, p. 15) 6. Requisitos para el agotamiento del derecho de marca Para que se configure el agotamiento del derecho de marca en la can existen unos requisitos específicos, a saber, pro-ductos introducidos en el comercio (requisito objetivo), por el titular o por un tercero con su consentimiento (requisito subjetivo) y, dado que el agotamiento es internacional, esta introducción puede llevarse a cabo en cualquier país. Requisito objetivo: productos introducidos en el comercio Como requisito objetivo, la legislación comunitaria andina indica que el agotamiento del derecho de marca se da una vez los productos hayan sido introducidos en el comercio por el titular del registro o por otra persona con consenti-miento del titular o económicamente vinculada a él. Nótese que, a diferencia del agotamiento comunitario europeo, la can no utiliza el término "comercialización", sino que utiliza la introducción en el comercio para referirse al requisito objetivo. Por lo tanto, surge el debate acerca de si la introducción de productos en el comercio hace referencia a los actos asociados a la comercialización, por ejemplo la importación de productos sin que estos hayan sido comercializados, o si, por el contrario, la introducción en el comercio se entiende en el sentido restringido de la comercialización de los mismos. La elección de uno u otro concepto es determinante, ya que sus diferencias y sus efectos en la aplicación del ius prohi-bendi por parte del titular de la marca son distintos. Si se acepta la introducción de un producto en el comercio como la importación de mercancías con la intención de vender el producto, sin que este llegue a venderse, por ejemplo guardar una cantidad de un producto contraseñado con una marca en un almacén o en un depósito, habría lugar al agotamiento del derecho inmediatamente estos productos fueran importados; mientras que si la introducción de un producto en el comercio se entiende como la comerciali-zación del mismo, se estaría haciendo una interpretación semejante a la que hace el tjce, en el sentido de que la intención de vender un producto no transmite al tercero el derecho de disponer de los productos designados con la marca y no le permite al titular hacer efectivo el valor. Por lo tanto, el agotamiento del derecho se daría únicamente con la venta del mismo. En este sentido, la ompi aclara que cuando se hace refe-rencia a la introducción en el mercado de los productos o servicios identificados con la marca, no solo se alude exclusivamente a la comercialización, sino que también se incluyen aquellas actividades preparatorias o conectadas con la comercialización (Organización Mundial de la Propiedad Intelectual, 2002, p. 7). Por lo tanto, el ago-tamiento del derecho de la marca en la can, a diferencia de las condiciones que plantea el legislador de la ue, no se restringe a la comercialización, sino que se amplía a todo su proceso (Organización Mundial de la Propiedad Intelectual, 2002, p. 7) Requisito territorial: cualquier país A diferencia de la ue, que señala como requisito previo al agotamiento del derecho de marca la comercialización por primera vez de los productos en el eee, la can apunta al agotamiento de marca internacional. Esta interpretación se desprende del hecho de que el artículo 158 de la Decisión 486 se refiere al agotamiento del derecho de marca después de que ese producto se hubiese introducido en el comercio en cualquier país. El tjca afirmó el agotamiento de marca internacional al señalar en la interpretación prejudicial que el agotamiento del derecho de marca está exceptuado de territorialidad (Proceso 17-IP-98, 1998, pp. 9-10 ). Así mismo, en el seminario de la ompi para los países andinos sobre la observancia de los derechos de propiedad intelectual en la frontera, dispone que, de acuerdo con el alcance territorial, el agotamiento adoptado por la can es el internacional, ya que con la primera comercialización de los productos identificados con la marca en un mercado extranjero se configura la limitación. "Significa la plena libertad de las subsiguientes ventas de los productos identificados con la marca auténtica tanto fuera como dentro del país en que se encuentra registrada, una vez su titular la ha comercializa-do en cualquier lugar del mundo" (Organización Mundial de la Propiedad Intelectual, 2010, p. 14). Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 48 49 Requisito subjetivo: consentimiento del titular El agotamiento del derecho exclusivo de marca se da en virtud de la facultad que tiene el titular de la marca de comerciar esos productos o servicios con identificación de su marca, así en la faceta negativa esa facultad se traduce en la prohibición que puede lograr el titular para que terceros vendan productos o suministren servicios bajo el amparo de un signo igual o similar (Proceso 66-IP-2000, 2000, p. 7). De esta manera, la condición para el agotamiento del derecho de marca es que el producto haya sido puesto en el comercio por el titular o por un tercero, con el consen-timiento o económicamente vinculado a él (Decisión 486, 2000 art. 158). El consentimiento dado por el titular de la marca puede ser explicito, implícito o tácito. El consentimiento expreso se desarrolla a través del otorgamiento de una licencia sobre la marca. El consentimiento implícito se produce cuando el producto es comercializado por agentes o representantes autorizados o por filiales del fabricante que registran la marca a su nombre en los países donde se va a producir la comercialización por parte de la filial (Carbajo, 2009, p. 150). En este caso, la actuación fiduciaria no le permite al titular oponerse a su posterior comercialización. Por lo tanto, es fundamental aclarar qué tipo de consentimiento adopta, es decir, si este consentimiento debe ser expreso, implícito o tácito, en especial en cuestiones referentes a las importaciones paralelas y a la distribución selectiva. La interpretación prejudicial del tjca dispone en varios procesos que, conforme al sistema andino, la única forma de adquirir el derecho al uso exclusivo de la marca es por medio del registro, el cual le permite a su titular ejercer el ius prohibendi para impedir que terceros utilicen su mar-ca, sin su expreso consentimiento, en bienes o servicios idénticos o similares, a tal extremo que pueda causarle confusión al consumidor, que es a quien protege, en esen-cia, el derecho marcario. En este sentido, la interpretación prejudicial apunta a que la condición del agotamiento del derecho de marca está sujeta al consentimiento explícito por parte del titular (Proceso 33-IP-2000, 2000, Proceso 116-IP-2004, 2004). Es necesario hacer referencia a las importaciones paralelas para determinar si el titular de una marca puede impedir que terceros importen un producto originalmente marcado cuando estos productos han sido producidos o introduci-dos en el mercado extranjero por él mismo o por personas vinculadas económicamente a él. Este debate responde a la tensión que existe entre el reconocimiento del derecho exclusivo de marca, que se circunscribe al ámbito nacional, y el alcance del agotamiento del derecho de marca, que obedece al terreno internacional. 7. Excepciones al agotamiento de marca La legislación andina ha determinado excepciones al ago-tamiento del derecho de marca. Al respecto señala que: El registro de una marca no dará el derecho de impedir a un tercero realizar actos de comercio respecto de un producto protegido por dicho registro, en particular cuando los productos y los envases o embalajes que estuviesen en contacto directo con ellos no hubiesen sufrido ninguna modificación, alteración o deterioro. (Decisión 486, 2000, art. 158) De lo anterior se puede deducir que una vez que se ha agotado el derecho, en los casos en los que el producto y envase o embalaje que estuviese en contacto directo con él hubiese sufrido alguna modificación, alteración o deterio-ro, el titular puede invocar su ius prohibendi para oponerse a la ulterior comercialización del producto contraseñado con la marca. Sin embargo, este no es el único caso en el que el titular de la marca puede invocar ius prohibendi una vez agotado el derecho, ya que el legislador, al decir "en particular", acepta que existen otras situaciones en las se puede permitir que el titular de la maca se oponga a su comercialización. Las excepciones al agotamiento del derecho de marca son importantes, en la medida en que favorecen que la marca cumpla su función esencial, es decir, que sirvan como indicadora del origen empresarial. Como se vio antes, aunque estas excepciones suponen una restricción al libre comercio, son necesarias en la medida en que fomentan la libre competencia y evitan la competencia desleal. Siguiendo lo dispuesto en la ue en cuanto a las excepciones al agotamiento de marca, haremos referencia a la altera-ción de los productos y al menoscabo de la reputación de la marca como causas por las cuales el titular de la marca puede invocar su ius prohibendi. Respecto a la modifica-ción de los productos, la Secretaria General de la can ha dispuesto que, si bien es cierto que el registro de una marca no le concede a su "titular el derecho de impedir a un tercero realizar actos de comercio respecto del producto protegido por dicho registro, ello está permitido, si y sólo si estos productos no hubiesen sufrido ninguna modificación, alteración o deterioro" (Resolución 590, 2002, p. 2). Es decir, el ordenamiento jurídico de la can prohíbe de manera expresa que los productos protegidos por una marca puedan ser modificados y comercializados, lo que consti-tuye una de las situaciones en las que el titular del derecho puede oponerse a la ulterior comercialización del mismo una vez se hayan dado las condiciones para el agotamiento del derecho. Ahora bien, el tjca no se ha pronunciado sobre los casos en los que estas modificaciones son necesarias para que el importador paralelo pueda acceder a los mercados de los países miembros. Sobre el particular, si llegase a realizar una interpretación similar a la sostenida por el tjce, en cuanto a las condiciones para el reetiquetado, reenvasado y sustitución de la marca, las restricciones sobre el comercio serían las mínimas posibles, ya que permitirían la modifi-cación de los productos (fomentando el libre comercio) y, al mismo tiempo, impondrían una serie de requisitos que garantizan la función esencial de la marca, con lo que se protege tanto a los consumidores como a los titulares de la marca de los actos de competencia desleal. Por otra parte, si opta por hacer una interpretación contraria, en la que no llegase a permitir ninguna alteración o modificación a los productos, estas medidas supondrían restricciones aún mayores al libre comercio en el mercado común. En cuanto al menoscabo de la reputación de la marca como excepción al agotamiento del derecho de marca, el tjca no se ha pronunciado. Sin embargo, es posible analizar en parte esta cuestión a la luz de la función esencial del derecho de marca. El tjca, mediante interpretación preju-dicial, ha determinado que "la finalidad que persiguen las acciones derivadas del ius prohibendi está dirigida a evitar que el doble uso de una marca idéntica o similar introduzca confusión en el mercado" (Proceso 11-IP-96, 1997, p. 34). La interpretación que hace la ompi en este sentido señala que el titular de la marca recobra su derecho de prohibir a terceros que realicen actos de uso de la marca que sean susceptibles de confundir al público consumidor sobre la verdadera procedencia empresarial del producto. Por lo anterior, en principio parece válido aceptar que el menoscabo a la reputación de una marca en la can consti-tuiría una excepción al agotamiento del derecho de marca, sin embargo, el tema no ha sido debatido por el bloque económico andino, entre otros factores porque allí no se ha desarrollado un mercado de productos de lujo y de prestigio tan ampliamente como en el mercado comunitario europeo. 8. Legislación interna y autoridad nacional competente El artículo 276 de la Decisión 486 señala que los países miembros de la can pueden regular aquellos asuntos no comprendidos en ella. El tjca, mediante interpretación prejudicial, ha concluido al respecto que los alcances de la regulación interna deben estar "inscritos en la filoso-fía y armonía jurídica que deben guardar con la norma comunitaria siempre prevaleciente" (Proceso 10-IP-94, 1995, p. 19). De esta manera, las disposiciones internas de los países miembros de la can en materia de agotamiento del derecho de marca solamente pueden reglamentar los vacíos o temas no tratados en la Decisión 486. En este sentido, en cada país andino hay una oficina nacio-nal competente y una autoridad nacional competente. La primera hace referencia al órgano administrativo encargado del registro de la propiedad industrial, mientras que la autoridad nacional competente es el órgano designado al efecto por la legislación nacional sobre la materia (Decisión 486, art. 273) Bolivia: Servicio Nacional de Propiedad Intelectual La oficina nacional competente en Bolivia es el Servicio Nacional de Propiedad Intelectual (Senapi). Fue creada por la Ley 1788 de 1997 y su misión es administrar en forma desconcentrada e integral el régimen de la propiedad intelectual en todos sus componentes (Decreto Supremo 28152, arts. 3 y 4). Para cumplir las funciones que le atribuye la ley, el Senapi cuenta con direcciones técnicas que se encargan de la evaluación y el procesamiento de las solicitudes de dere-chos de propiedad intelectual. La Dirección de Propiedad Intelectual, en particular, es la encargada de velar por el cumplimiento de las leyes, reglamentos, decretos, resolu-ciones, convenios, acuerdos internacionales y decisiones en materia de marcas y otros signos distintivos (Decreto Supremo 28152, art. 1 y 16). La ley reglamentaria de marcas, de 15 de enero de 1918, es la norma nacional que regula temas tales como los propietarios de marcas y de su registro de extinción, y las formalidades para el registro de marcas. Colombia: Superintendencia de Industria y Comercio Para Colombia, la oficina competente es la Superinten-dencia de Industria y Comercio (sic). El artículo 1.° del Decreto 2153 de 30 de diciembre de 1992 la define como "un organismo de carácter técnico, adscrito al Ministerio de Desarrollo Económico, que goza de autonomía admi-nistrativa, financiera y presupuestal". Su estructura fue reestructurada mediante el Decreto 4886 de diciembre 23 de 2011. Entre las funciones de este organismo, y que se relacionan con el agotamiento de derecho de marca, se encuentran: Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 50 51 62. Administrar el Sistema Nacional de la Propiedad Industrial y tramitar y decidir los asuntos relacionados con la misma. 63. Expedir las regulaciones que conforme a las normas supranacionales corresponden a la oficina nacional competente de propiedad industrial. 64. Impartir instrucciones en materia […] propiedad industrial […] y señalar los procedimientos para su cabal aplicación. (Decreto 4886, art.1) La legislación interna en materia de propiedad intelectual ha sido desarrollada por el Decreto 2591 de 2000, que reglamenta la Decisión 486. En este decreto se regulan, entre otros, las marcas y diseños industriales. En cuanto al agotamiento del derecho de marca, la Superintendencia no lo reglamenta en su derecho interno, por el contrario, sus conceptos y resoluciones se refieren al artículo 158 de la Decisión 486 y a las interpretaciones prejudiciales que realiza el tjca. Así, la doctrina colombiana se ha referido al agotamiento del derecho exclusivo de marca en el concepto 02007889 del 04 de abril de 2002. En especial, ha señalado que res-pecto a las importaciones paralelas: Un licenciatario con pacto de exclusividad sobre el uso de un signo puede verse eventualmente afectado con ocasión de la importación paralela y lícita por parte de terceros, de productos marcados con el signo objeto de la licencia. En este evento, tales productos en principio ingresarían al mercado local provenientes no directamente de operaciones de exportación realizadas por el licenciante, sino de operaciones de exportación realizadas por personas distintas del mismo, a partir de otros mercados donde los productos de este se encontraran. (párr. 26) Ecuador: Instituto Ecuatoriano de Propiedad Intelectual En Ecuador la oficina competente es el Instituto Ecuato-riano de Propiedad Intelectual (iepi). Creado por la Ley de Propiedad Intelectual en 1998, el iepi es "el organismo administrativo competente para propiciar, promover, fomentar, prevenir, proteger y defender, a nombre del Estado ecuatoriano, los derechos de propiedad intelectual […]" (art.3). Para cumplir las funciones asignadas, el iepi cuenta con la Dirección Nacional de Propiedad Industrial, que tiene en-tre sus funciones administrar los procesos de otorgamiento, registro o depósito, marcas, y administrar en materia de propiedad industrial los demás procesos administrativos contemplados en la ley (Ley de Propiedad Intelectual Codificada, art. 347 y 359). A diferencia de países como Colombia y Bolivia, que no hacen una trasposición a la legislación interna del agota-miento del derecho marca, Ecuador, mediante la Ley de Propiedad Intelectual, en su versión codificada, hace refe-rencia a la limitación del derecho que confiere el registro de marca para prohibir la ulterior comercialización de los productos: El derecho conferido por el registro de la marca no concede a su titular la posibilidad de prohibir el ingreso al país de productos marcados por dicho titular, su licenciatario o alguna otra persona autorizada para ello, que hubiesen sido vendidos o de otro modo introducidos lícitamente en el comercio nacional de cualquier país. (art. 219) Perú: Instituto Nacional de Defensa de la Competencia y de la Protección de la Propiedad Intelectual La oficina competente en la Republica de Perú es Instituto Nacional de Defensa de la Competencia y de la Protección de la Propiedad Intelectual (Indecopi). Creado por el Decreto Ley 25868, tiene entre sus funciones administrar el sistema de otorgamiento y protección de los derechos de propiedad intelectual en todas sus manifestaciones, conforme a lo previsto por la ley (Decreto Legislativo 1033, art. 2). El Indecopi cuenta con la Dirección de Signos Distintivos, que tiene como función, entre otras, proteger los derechos otorgados sobre marcas; así, puede otorgar, reconocer o limitar tales derechos luego de un debido procedimiento (Decreto Legislativo 1033, arts. 42 y 36). La Ley de Propiedad Industrial regula el tema referente a las marcas, así mismo, en el Decreto Legislativo 1075, de 27 de junio de 2008, se señalan disposiciones comple-mentarias a la Decisión 486, entre ellas, las relativas al registro de marcas. Sin embargo, este no hace referencia al agotamiento del derecho de marca, por lo que la legislación peruana no hace una trasposición interna del artículo 158 de la Decisión 486. 9. Conclusiones En referencia al agotamiento del derecho de marca en Su-ramérica, este ha sido desarrollado por los dos principales bloques económicos en la región: la can y el Mercosur, con el fin de fomentar el libre comercio. En este sentido, aunque las principales jurisprudencias han establecido el mismo límite al derecho de marca, han surgido diferencias respecto a su extensión y excepciones. Así pues, de los bloques económicos en Suramérica, la can es la que más ha profundizado en el tema, al imple-mentar una legislación armonizada para todos los países miembros. Frente a lo desarrollado por este bloque, son varios los puntos que hay que analizar. La primera cuestión es si el régimen adoptado por la can realmente aporta a los objetivos de fortalecimiento del mercado común, toda vez que hasta el momento estos bloques económicos no se han consolidado debido a las diferencias que afrontan sus países miembros. La can ha optado por el régimen internacional del ago-tamiento del derecho de marca y, dado que este bloque económico no ha alcanzado un alto grado de consolidación, es debatible que lo haya adoptado, puesto que el régimen comunitario brinda mayor fortalecimiento y consolidación del mercado común. En ese sentido, fomentan en mayor medida los objetivos de señalados en el ac, tales como la integración económica, la formación gradual de un mer-cado común latinoamericano, la disminución de la vulne-rabilidad externa y el mejoramiento de la posición de los países miembros en el contexto económico internacional. El agotamiento internacional, por su parte, sitúa en posi-ción de desventaja a las empresas de los países de la can frente a empresas de otros bloques económicos o países que adoptan el agotamiento comunitario o nacional. Aunque algunos autores han resaltado los efectos positivos que el agotamiento internacional tiene frente al agota-miento comunitario, no son claras las razones que llevaron al legislador andino a adoptar este régimen. Lo anterior da lugar al planteamiento de que si lo que se buscaba era fortalecer el mercado común y el libre comercio intracomu-nitario, optar por el agotamiento comunitario hubiera sido una mejor opción, en la medida en que permite proteger la economía, las inversiones nacionales o comunitarias e impulsaría el comercio entre los países miembros. Por otra parte, el tjca ha interpretado la normatividad andina del agotamiento del derecho de marca en algunos aspectos, entre ellos, lo que se entiende por introducción en el comercio, respecto del cual se contemplan los actos de comercio y no únicamente la comercialización, a diferencia del agotamiento de marca en el eee. La Decisión 486, por medio de la cual se determinan el Régimen Común sobre Propiedad Industrial en la Comu-nidad Andina y las demás normas que la rigen, solo puede ser interpretada por el tjca, ya que es el único órgano competente, de acuerdo a lo dispuesto en su tratado de creación y, sobre todo, porque con ello se asegura una apli-cación uniforme de las normas en toda la can (Concepto 02031947, 2002, párr. 5). En este sentido se entiende que la decisión es normativa o legislativa. Teniendo en cuenta lo anterior, es necesario precisar que el tjca no se ha pronunciado acerca de algunos temas específicos del artículo 158 de la Decisión 486 sobre el agotamiento del derecho de marca. Es decir, existen cues-tiones que no han sido objeto de interpretación prejudicial debido a que, hasta el momento, no se han presentado casos o situaciones que así lo requieran en este tema. Entre las cuestiones que se encuentran pendientes por aclarar se encuentra el consentimiento del titular, es decir, si este puede ser tácito o únicamente se acepta un consen-timiento expreso cuando un tercero invoca el agotamiento del derecho de marca. Por otra parte, tampoco ha aclarado si el consentimiento debe referirse a cada ejemplar del producto respecto del cual se invoca el agotamiento, aunque, al parecer, una interpretación semejante a la que hace el tjce sería la solución más viable. Ahora bien, la legislación andina considera que varios pue-den ser los casos en los que una vez agotado el derecho de marca el titular del derecho puede oponerse a su posterior comercialización. Ha manifestado que cuando los produc-tos y los envases o embalajes que estuviesen en contacto directo con ellos hubiesen sufrido alguna modificación, alteración o deterioro, el titular de la marca puede oponerse a los actos de comercio realizados por un tercero. Es decir, la modificación de los productos una vez comercializados le permite al titular del derecho invocar su ius prohibendi para impedir posteriores comercializaciones. Hasta el momento, el tjca no ha se ha referido a alteración de los productos cuando esta se sustente en la necesidad del importador para acceder a los mercados, y tampoco ha he-cho referencia a la reputación de la marca como factor que permita invocar su derecho cuando este se haya agotado. Respecto a este último, además de las consideraciones he-chas, cabe plantearse si el tjca adoptaría una interpretación similar a la que hace el ttjce para el caso específico de la comercialización de productos que gozan de una imagen de prestigio por parte de distribuidores autorizados o comer-ciantes paralelos en aquellos casos en los que la infracción Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 Conceptualización y análisis del agotamiento del derecho de marca en la Comunidad Andina de Naciones. Laila Katrina del Pilar Rojas Santana, págs 40 - 55 52 53 de las condiciones de comercialización impuestas por parte del titular de la marca producen un menoscabo de la sensación de lujo que emana de los productos. Finalmente, es necesario señalar que en la medida en que avancen en la integración del mercado comunitario andino, estas cuestiones serán desarrolladas por la legislación, ya que son necesarias para garantizar la función de la marca como instrumento para competir y para lograr el correcto funcionamiento del mercado. Referencias bibliográficas Basombrio, I. (2004). Integración andina: instituciones y derecho comunitario. Recuperado de http://www.cepal.org/brasil/ noticias/paginas/2/22962/BASOMBRIO-INTEGRA-CION% 20ANDINA-INSTITUCIONES%20Y%20 DERECHO.pdf Bercovitz, A. (2002). Apuntes de derecho mercantil (13ª ed.). 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Laila Katrina del Pilar Rojas Santana, págs 40 - 55
This report describes trends in the beef industry in the Monsoonal North. It aims to provide the region's natural resource management (NRM) groups with an understanding of how best to support the industry, undertake the changes required to improve its environmental sustainability and economic viability, and to provide it with resilience in the face of increasing development pressures and climate change. This report charts the industry's history and development; describes its current condition and the pressures and drivers it is experiencing; and explores how these are likely to change in the near future. The region: The Monsoonal North covers 20% of Australia's land surface across the tropical savannas. It shares a monsoonal climate, extensive intact ecological systems, generally poor soils and limited development. Its river systems carry nearly half of the runoff. The region has a large Indigenous population; most land is either under Indigenous ownership or subject to Native Title; and the highest proportion of Indigenous people live in the region's north and north-west. The region also faces a number of shared issues, particularly the challenges of intensifying climatic extremes and pressure to exploit Asia's growing demand for agricultural produce, which is placing pressure on land and water resources. The industry: Cattle production is northern Australia's most important agricultural industry. Two-thirds of the Monsoonal North is currently used for extensive cattle grazing. Through most of the region, cattle are grazed at low stocking rates on native pastures, with introduced pasture species being restricted in extent. Most enterprises breed animals for the low-value live export trade or for fattening and finishing on better pastures or in feedlots. Cattle numbers in Queensland, Northern Territory and Western Australia have doubled since 1965, and fluctuated with changes in demand and climatic conditions. In 2009, the Monsoonal North held around 5.7 million head of cattle. High export demand from Asia and drought destocking has seen the region's cattle numbers fall and prices rise through 2014-15. In the longer-term, continued growth in global demand, a reduced Australian dollar and high global prices, and improved incomes are forecast for Australian beef producers. Since 2009, each of the three northern governments have released policy documents that included targets to increase the herd size by between 1 and 5%, with the greatest planned increases on Aboriginal land in the Kimberley. Between 2009 and 2014, the Northern Territory herd grew by more than the projected 5% increase. Herd size in Queensland has recently diminished because of drought, and the current government's stance on herd-building is unclear. Nevertheless, long-term growth is expected to increase the northern Australian herd by a further 80% by 2050. Recent growth in the northern cattle herd has been achieved through intensification (spreading grazing pressure using water points and fencing) and development of underutilised properties, notably on Indigenous lands. Indigenous pastoralism is growing rapidly, with developments in all parts of the sector from cattle breeding to slaughter. Markets: Most beef grown in northern Australia is sent to Asia, with Indonesia being the largest buyer of live cattle. Despite a long-established framework for assuring animal health and welfare within Australia, widely-publicised animal mistreatment in Indonesia resulted in the temporary closure of the live-export market in 2011 until animal welfare could be assured throughout the supply chain. This closure demonstrated how dependence on a single market exposed the northern beef industry to market volatility. Bilateral and multilateral trade negotiations by the federal government are now progressively broadening market access, with agreements favouring Australian beef now in place or close to finalisation with most significant beef markets. Enterprises: Cattle enterprises in the Monsoonal North have been struggling because, in real terms, cattle prices have declined, while input costs have remained stable. In addition, escalating land prices through the 1990s and 2000s encouraged many land owners to increase their mortgages to levels that became unsustainable once land prices fell. This has implications for environmental management. In comparison to pastoralists in a good financial position, those in debt have less resilience to cope with drought; are less likely to adopt practice improvements needed for improving enterprise viability and environmental conditions; and are more likely to suffer adverse health effects. Many enterprises, especially those with small herds, derive more income from off-farm work than they earn from cattle operations. While large cattle enterprises allow economies of scale, increasing cattle herd size seems less important to profitability than does improving herd performance. Performance: Except on Mitchell Grass pastures and small areas of intensively managed pastures, cattle performance in the Monsoonal North is substandard when compared to the rest of the country, and is affected by poor quality pasture quality. Breeding performance is typically poor; with low pregnancy rates; high foetal and calf death rates; and many cows are lost. However, the achievements of the top 25% of the industry indicate there is great potential to improve performance on the remaining properties. Health and well-being: Pastoral production is a stressful occupation, involving financial insecurity and isolation; and pastoralists have high rates of injury, disease, accident and suicide. Recent years have brought additional challenges associated with falling land prices, market instability and drought. In the Burdekin Dry Tropics, proposed coal mining is increasing stress levels for many pastoralists. Supply and demand: Domestic demand for beef in Australia stagnated because per capita beef consumption has fallen, but global demand is escalating with population growth and economic development. Demand for beef is expected to keep increasing until at least 2050, with greatest growth occurring in China. Australia was the world's top beef exporter until 2003. Only Brazil and India currently export more beef than Australia does. Australia's disease-free status gives it access to markets that are closed to these exporters. Australia's dominance of the live-export trade to Indonesia also helps provide a disease free buffer to its north. Australian beef producers are disadvantaged by protectionist measures employed by both beef importing countries and exporting countries. The Australian Government has been engaging in international trade agreements that will overcome some of these barriers and increase market access. Market requirements and consumer preference: A high percentage of Brahman genes in the herd makes northern cattle attractive for slaughter and feedlots in tropical countries. However, slow growth rates and long transport distances mean most beef is sold in the low end of the market. Ethical, health and environmental concerns have contributed to the decline in domestic meat consumption, and are influencing consumer preferences in global markets. These concerns are driving practice improvement throughout the Australian beef supply chain. Challenges: Industry viability is constrained by lack of infrastructure, including feedlots, intensive fattening pastures, saleyards and meatworks, inactive ports and poor quality roads, all of which combine to make freight expensive, pushing up input costs. Considerable advances have been made in alleviating these constraints by building meatworks in Darwin, Arnhem Land and the Kimberley. However, lack of competition through the supply chain may be depressing returns at the farm gate. The ports of Darwin and Townsville are operating at record capacity, but some northern ports with export facilities (Port Hedland, Weipa, Mourilyan and Mackay) have not operated for several years. Water for cattle operations and irrigated crops may be at risk if extraction for these and other activities is not sustainably allocated. While broadscale irrigated cropping is likely to be restricted to a small proportion of the region, its requirements for water resources and fertile soil may deprive the pastoral industry of some of its most productive pasture land. Extraction for mining and irrigated agriculture is of particular concern. This has become a contentious issue with several coal projects in Queensland's Galilee Basin. Mining also has the potential to disrupt pastoral operations by removing land from production for both mineral extraction and infrastructure. Again, this is a significant issue in Queensland, where several landholders will be affected by the rail corridor servicing mines in the Galilee Basin. The disruption caused by mining poses a risk, not only to the financial viability of pastoral enterprises, but also to the health and welfare of pastoralists and their families. If well managed, however, mining and agricultural development can also have co-benefits, improving regional economies and providing employment and infrastructure. Weeds, fire, pest animals, disease and cattle theft all impose financial burdens on northern pastoral operations. Production losses caused by weeds have been estimated at costing the industry around $1,000 million/year; pest animals: ca $36 million/year; disease and parasites: ca $390 million; and cattle theft between $1.5 and $2 million a year in Queensland alone. No industry-wide estimates are available for impacts of fire, cyclones or other natural disasters. Conversely, pastoral managers perform important roles in control of weeds, fire, pest animals and diseases that would not be undertaken if no one was living on the lands they manage. Climatic and seasonal conditions are also serious constraints, particularly in inland Queensland, where periods of drought of two or more years are not uncommon. Conversely, extended periods of above average rainfall may encourage pastoralists to stock land beyond its long-term carrying capacity, and develop unrealistic impressions of what average conditions are. This could be an issue in the Kimberley if the elevated rainfall of the last few decades is not sustained. Climate change is already being felt in the region. Temperature have risen by up to 1.0°C since 1910, with further increases of up to 5°C expected by the end of the century. Droughts, cyclones, wildfires and flooding rains are likely to intensify over the next few decades, and continue to intensify until at least the end of the century. Carbon dioxide enrichment may increase forage production, but reduce its quality and stimulate woody thickening, as woody plants are favoured over tropical grasses. In most climate change scenarios, whether rainfall remains roughly the same or decreases, pasture growth and safe stocking rates in the Monsoonal North are expected to decrease, with the worst scenarios predicting decreases in pasture growth and safe stocking rates of between 50% and 60%. Climate change will also have adverse impacts on each stage of the supply chain, with effects ranging from increasingly uncomfortable work conditions to increased frequency of flood and cyclone damage to infrastructure. Policy environment: Many organisations have an influence on the direction of the pastoral industry. Individually, or as part of cross jurisdictional alliances, national, state and territory governments promote industry sustainability and herd-building. The preferred approach is to improve trade relations; simplify regulation; invest in roads; and provide a conducive business environment to attract infrastructure investment. The Developing Northern Australian White Paper and the Agricultural Competitiveness White Paper further these objectives. Under Australian national legislation, the Red Meat Advisory Council was established to represent the interests of beef and other meat producers, and is reported to by various state farming organisations that work closely with the industry as advocates and information and extension providers. Research and marketing is largely driven by Meat and Livestock Australia (informed on northern issues by the North Australia Beef Research Council) and extension is delivered by state agencies, state farming organisations and NRM groups. The emphasis of both research and extension is on practice improvement, rather than herd building. The Australian Government funded Indigenous Land Corporation is also playing a pivotal role in the northern grazing industry by assisting Indigenous people acquire, develop and manage pastoral properties. Finally, the policies and assessments made by financial institutions can both determine the level of debt that a pastoral enterprise can acquire and the cost of repayment, and influence whether developments seeking external funding are seen as viable. The Australian Government is committed to climate change action by virtue of signing international agreements. Its commitments to reduce emissions will help moderate the long-term impacts of climate change. Both the Western Australian and Northern Territory Governments have also made climate change commitments and the Queensland Government is currently revitalising its climate change agenda. Regulatory environment: Legislation and regulation govern much activity on pastoral properties, most of which are pastoral leases coexisting with Native Title. This type of land tenure allows pastoralists to undertake most activities that can be justified as core business to a pastoral operation, including pastoral-related activities that reduce carbon footprints. Diversification into other activities requires the consent of Native Title holders, which is usually negotiated through Indigenous Land Use and Access Agreements. Pastoralists have the right to water stock and clear vegetation for pastoral uses, but conditions vary between jurisdictions and water use for agricultural development requires a permit. There is a lack of clarity about whether permits can be granted for non-pastoral uses (including diversification into broadacre cropping) in Western Australia and Queensland. Pastoral leases also come with a range of legislated responsibilities. Leaseholders in each jurisdiction are to manage weeds, pest animals and diseases and to report notifiable cattle diseases to the relevant authority. They must use National Livestock Identification Scheme tags to ensure their cattle can be traced through the supply chain, and adhere to animal health and welfare standards. In addition, as employers, pastoral operators must follow conditions laid down by Fairwork Australia. Graziers in the Burdekin catchment are required to manage their properties to minimise reef pollution. The rights of miners to access land and water override those of pastoral leaseholders. While legislation facilitating exploitation of mineral and gas and fuel resources purports to safeguard other interests (notably environmental matters and water access), few mining proposals have been rejected because of environmental or pastoral concerns. Practice improvement: Much effort has been invested in identifying the best practices to improve the profitability and environmental sustainability of the northern beef industry. Key areas of knowledge advancement include: • Improving land condition • Improving diet through exotic pastures and supplementary feeding, especially at finishing • Improving reproductive performance by culling non-productive animals, vaccinating against reproductive diseases and improving diet quality • Increasing liveweight gain through early weaning and improving diet quality • Spreading grazing pressure by increasing fencing and water points. Improvements to herd management are largely compatible with practice change required for reducing adverse impacts on biodiversity, carbon footprints and Great Barrier Reef water quality. Improved animal performance increases animal growth rates (meaning fewer animals are required to produce the same volume of meat), and therefore also reduces the methane emissions generated. Good herd performance in rangelands is also dependent on moderate stocking rates to maximise forage quality, especially by improving the cover of productive perennial grasses. Improved ground cover also reduces soil loss (when cover is at least 50%) and gully formation (when at least 75%). Resilience to climate change will be built by undertaking the practice improvements identified to improve pastoral productivity and land condition. Of particular importance is the ability to adjust stocking rates in relation to seasonal conditions. At the industry level, decision support, including improved access to climatic information, is required to assist pastoralists make the best decisions for their circumstances. Diversification: Another approach to increasing enterprise resilience is diversification. Options being canvased include small-scale irrigation of pasture crops for finishing cattle on the property, grain and oil seed crops, biodiversity conservation and carbon abatement. Conservation efforts on some properties attracted subsidies in return for entering into conservation agreements. Biodiversity offsets may widen opportunities for on-property conservation, particularly in Queensland, where a formalised offset scheme is being developed. A small number of pastoral properties in the region are also receiving funding for fire management to reduce carbon emissions. A range of other emission reduction opportunities are at various stages of development, including reducing emissions from pastoral operations through improved herd management and adjusting cattle diets and storing carbon in soil or vegetation. Natural resource management implications: As practices to improve performance are adopted and/or diversification options are pursued, careful management will be required to avoid potential adverse environmental impacts. Best-bet options for improving environmental outcomes along with pastoral productivity include: • Avoiding the use of "transformer" grasses (with high biomass and fuel loads), or at least ensuring they do not escape from improved pasture plantings • Protecting areas of high biodiversity values when increasing extent and/or intensity of grazing, in particular protecting biodiversity values on riparian corridors when planning irrigated cropping projects • Ensuring wet season supplementary feeding does not weaken native perennial grasses • Ensuring early dry season burning does not lead to vegetation thickening and biodiversity decline. The NRM implications of the current trajectory of the pastoral industry are mixed. Herd building will put more pressure on the natural environment. However, performance improvement has many benefits by reducing the number of hooves and mouths required to produce a kilogram of meat. If well managed, mosaic agriculture can contribute to herd performance while taking pressure off pastures and the natural environment during the wet season, but managed poorly could result in further degradation of alluvial environments and over stocking of adjacent areas. The environmental footprint of diversification into agriculture would similarly need to be managed carefully. However, increasing income from various forms of ecosystem service delivery, particularly on lands that are marginal for grazing, would be a boon to both pastoral enterprises and the environment. Central to all this change are the pastoralists themselves. And with all that is required from them and all the stresses and strains they already have to bear, many will be in no position to take up improved practices, let alone participate in conservation activities. Pathways out of debt must be found before resilience in the face of change can be achieved, and pastoralists must be supported in the adoption of new practices, rather than have it mandated.
PAULO'S SPIRITUAL IDENTITY IN PAULO COELHO'S ALEPH Achmad Furqon English Literature, Art and Language Faculty, State University of Surabaya lonelyliar91@gmail.com Dr. Ali Mustofa, SS., M.Pd. English Literature, Art and Language Faculty, State University of Surabaya ali_mustofa2005@yahoo.co.uk Abstrak Fokus permalasahan pembentukan identitas berkembang selama tahap dewasa . Permasalahan tersebut meliputi kejuruan, politik, agama / spiritual , dan seksualitas . Sebagai salah satu fokus permasalahan pembentukan identitas , spiritualitas mencakup isu-isu utama dalam pembentukan identitas pada tahap dewasa . Spiritualitas berkontribusi penting dalam pembentukan identitas. Spiritualitas membawa kesadaran diri dalam hubungan dengan orang lain. Melakukan aktivitas spiritual memberikan rasa keterhubungan dengan Tuhan , manusia , atau alam, memberikan kesempatan bagi individu untuk mnegenali dirinya sendiri dalam hubungannya dengan Tuhan , komunitas orang percaya , atau alam. Pencarian identitas spiritual Paulo telah menyebabkan dia untuk menuntaskan proses perkembangan dalam pembentukan identitas spiritual. Sejalan dengan itu, tujuan dari penelitian ini adalah untuk mendeskripsikan proses pembentukan identitas spiritual Paulo. Penelitian ini menggunakan pendekatan psikososial oleh Erik H. Erikson untuk menganalisis masalah. Berdasarkan hasil analisis, studi ini menunjukkan bahwa ada beberapa langkah dalam proses perkembangan pembentukan identitas spiritual. Kata Kunci: spiritualitas, agama, identitas spiritual Abstract The identity formation concerns develop during the adulthood stage. The concerns include vocational, political, religious/spiritual, and sexual issues. As one of the concerns of identity formation, spirituality covers the major issues in identity formation of adulthood. Spirituality contributes an important role in identity formation. Spirituality brings an awareness of self in relationship to others. Engaging in the spiritual provides connectedness with divine, human, or natural other, giving individuals an opportunity to experience himself or herself in relationship to God, a community of believers, or nature. Paulo's search of his spiritual identity has led him to fulfill the developmental tasks of spiritual identity formation. In line with that, the purpose of this study is to describe the process of Paulo's spiritual identity formation. This study uses psychosocial approach by Erik H. Erikson to analyze the problem. Based on the analysis, this study shows that there several steps in the developmental tasks of spiritual identity formation. Keywords: spirituality, religion, spiritual identity. INTRODUCTION One of the most successful and popular writers in the recent years is Paulo Coelho. Paulo Coelho was born in Rio de Janeiro, Brazil on August 24, 1947. He was a journalist, an actor and a theatre director before becoming an author. His personal and spiritual lives give a big influence to most of his works. For instance, The Pilgrimage (1988), The Alchemist (1988), and Aleph (2011) seem to be his biographical novels. These novels were written based on his personal and spiritual life. As for Aleph it looks like a documentation of his personal and spiritual journey after making a catholic pilgrimage to Spain. Coelho also claimed that these novels are the adaptation of his own spiritual journey. In the novel Aleph, Paulo is pictured as a fifty-nine years old man and also a successful writer who has achieved everything in his life except one thing, he feels something wrong about himself. He thinks that he is not what he wants to be and considers himself to be in the wrong path. Generally known, people of his age should have a fixed identity since the identity forming happens in adolescence. Yet in this case, adulthood people perhaps have different opinion about identity. In adolescence, identity is defined as who one is and where his place in this world. As time passes by, adolescents will grow old and may change their perception about their identity. Identity is no longer a mere question about "Who am I?", rather it concerns with religious and spiritual matters. As Erikson (in Hoare, 2002), identity does not end in adolescence. He says that identity is a progressing process that happens throughout the stages of adulthood. In other words, identity is not really fixed in adolescence and it is an evolving aspect of adulthood life which continues to renew as time goes by. As Erikson (in Hoare,2002) suggests that identity could change during the adulthood stage due to life experiences that one encounters, the identity formation in adulthood is flexible to modify and evolve due to individuals' experiences. It tends to be a development of the previous stage in which identity has been formed in the adolescence. One of identity issues of adulthood is spiritual/religious identity. Generally, there is an unclear distinction between spirituality and religion, but there is a different point between the two domains. Contemporary research often attempts to differentiate religion from spirituality. In this case, religion generally becomes associated with the institutional and the sociological (prescribed systems, rituals, and traditions or beliefs), and spirituality becomes associated more with personal, psychological, and individual phenomena (Hood, Spilka, Hunsberger, & Gorsuch, 1993). In the spiritual identity formation, the two domains, spirituality and religion contribute an importing as wholeness. Indeed, all dimensions of spirituality can be addressed by religion as well as by other ideologies and practices (Roehlkepartain et al., 2006). Identity formation in adulthood, as Erikson (1968) notes it, has the same methodology as the other stages do. It begins with identification /exploration of individuals about the outer world (society) to coin a sense of identity. Then it is followed by conflicts and crises as Erikson (1968) has stated that conflicts and crises are psychosocial needs in nature. Given the right condition and enough time and space, individuals may achieve a balanced perspective of identity of what they need to be and what the society expects them to be, therefore identity has been formed. Nonetheless, based on facts laying on the background of the study above, then the problem is stated in: (1) how is Paulo's spiritual identity in Paulo Coelho's Aleph viewed by Erikson's concepts of spirituality? As referred to the background and statement of the problem above, the objective of the study is devoted to know a purpose as results of analyzing the problem: (1) to describe the process of spiritual identity formation of Paulo in Paulo Coelho's Aleph viewed by Erikson's concepts of spirituality. In accordance, it is expected that this study can give both theoretical and practical significance. In theoretical significance, Paulo Coelho's Aleph contains issues regarding spiritual identity formation. Therefore, this study is expected to give positive contribution towards the development of literary theory, which studies literature and society under the concepts of spirituality and personality development. Additionally, in practical significance, this study is expected to contribute to the practice of analyzing literary works by applying proper literary concept and theory. Hopefully, to whom this study may concern, it can be used as reference. Furthermore, this study expectantly can assist the institution to provide rich collection of research references. RESEARCH METHOD To collect the data, the first step is doing close reading the novel entirely. It is done over and over in order to be able to catch and understand the core story—intrinsically and extrinsically—of the novel. Besides, it also aims to support in collecting and analyzing the statement of the problems later on. Secondly, it comes to the step of collecting data. At this point, the data is collected through noting the narration and characters' dialogue and action in the novel, which reflects the idea of the process of spiritual identity formation in the form of quotation. To simplify the analysis of this study, there are two important steps needed to be done. The first is describing the facts. At this point, the facts are the data in the novel which supports the study or the statement of the problem. It is done by describing the collected data based on the subject of this study—spiritual identity formation of Paulo. Last but not least, the second is doing analysis towards the described data. It will dig the information beyond the data deeper by explaining it thoroughly. It is taken from the data in the novel first and, then, it will be analyzed by based on the thought of the researcher. At this point, to make best explanation and understanding of the study, Erikson's concepts of spirituality are included. ERIKSON'S CONCEPTS OF SPIRITUALITY Erikson (in Hoare, 2002) states that identity development does not end in the adolescence stage. He views identity as a progressing process that evolves throughout the stages of adulthood. Therefore, identity development is considered as a normative period of adolescence and evolving aspects of adulthood. Many experts disagree with his statement. They claim that identity is fixed at the end of adolescence stage. However, Erikson proposes that identity formation of adolescence does not remain fixed. He adds that identity formation holds a flexibility to modify throughout the adulthood stage. That is why he states that identity development does not end at the end of adolescence stage. Erikson suggests that identity could change during the adulthood stage due to life experiences that one encounters. Identity formation in adulthood, as Erikson (1968) notes it, has the same methodology as the other stages do. It begins with identification /exploration of individuals about the outer world (society) to coin a sense of identity. Then it is followed by conflicts and crises as Erikson (1968) has stated that conflicts and crises are psychosocial needs in nature. Given the right condition and enough time and space, individuals may achieve a balanced perspective of identity of what they need to be and what the society expects them to be, therefore identity has been formed. The identity formation concerns develop during the adulthood stage. The concerns include vocational, political, religious/spiritual, and sexual issues. As one of the concerns of identity formation, spirituality covers the major issues in identity formation of adulthood. As Erikson (1968) and Loder (1998) suggest, the beliefs, worldview, and values of religious traditions provide an ideological context in which individuals can generate a sense of meaning, order, and place in the world that is crucial to identity formation. Moreover, spirituality contributes an important role in identity formation. Spirituality brings an awareness of self in relationship to others (Benson, 1997). Engaging in the spiritual provides connectedness with divine, human, or natural other, giving a young person an opportunity to experience himself or herself in relationship to God, a community of believers, or nature for example. This moving beyond the self provides the opportunity for the search for meaning and belonging that is central to the task of identity exploration (Benson, 1997; Hill et al., 2000). Erikson (1965) adds that awareness that stems from this search provides the ultimate answers and perspective in the larger issues of life that are crucial to the resolution of identity crisis. In this sense, spiritual identity can refer to a connectedness to both divine and human. In achieving the spiritual balance, Erikson (in Hoare, 2002) introduces the images of the spiritual adult involved holistic concepts such as (1) actuality and mutuality: the release of defensiveness naturally acquired in attaining autonomy that frees one to participate and share effectively; (2) leeway: the freedom to be oneself and to grant such freedom to others; (3) adaptation: the move from passive acceptance of unacceptable life conditions to ego strength whereby one gains the power to fit the environment to one's needs and the needs of others; (4) insight: truth gained via contemplation of seeing into oneself and into a situation that it obliges toward ethical action; and (5) virtue and centrality: the spiritual and ethical center that with optimum resolution of life stages allows the self to be bound together around transcendent values of hope, purpose, fidelity, love, wisdom, and so on. PAULO'S SPIRITUAL IDENTITY FORMATION One of this study concerns is to describe how identity is defined in Paulo Coelho's Aleph by analyzing the character of Paulo. In the novel, Paulo is pictured as a fifty-nine years old man and also a successful writer who has achieved everything in his life except one thing, he feels something wrong about himself. He thinks that he is not what he wants to be and considers himself to be in the wrong path. Generally known, people of his age should have a fixed identity since the identity forming happens in adolescence. Yet in this case, adulthood people perhaps have different opinion about identity. In adolescence, identity is defined as who one is and where his place in this world. As time passes by, adolescents will grow old and may change their perception about their identity. Identity is no longer a mere question about "Who am I?", rather it concerns with religious and spiritual matters. As Erikson (in Hoare, 2002) earlier suggests, identity does not end in adolescence. He says that identity is a progessing process that happens throughout the stages of adulthood. In other words, identity is not really fixed in adolescence and it is an evolving aspect of adulthood life which continues to renew as time goes by. As Erikson (in Hoare,2002) suggests that identity could change during the adulthood stage due to life experiences that one encounters, the identity formation in adulthood is flexible to modify and evolve due to individuals' experiences. It tends to be a development of the previous stage in which identity has been formed in the adolescence. One of identity issues of adulthood is spiritual/religious identity. Generally, there is an unclear distinction between spirituality and religion, but there is a different point between the two domains. Contemporary research often attempts to differentiate religion from spirituality. In this case, religion generally becomes associated with the institutional and the sociological (prescribed systems, rituals, and traditions or beliefs), and spirituality becomes associated more with personal, psychological, and individual phenomena (Hood, Spilka, Hunsberger, & Gorsuch, 1993). In the spiritual identity formation, the two domains, spirituality and religion contribute an importing as wholeness. Indeed, all dimensions of spirituality can be addressed by religion as well as by other ideologies and practices (Roehlkepartain et al., 2006). Identity formation in adulthood, as Erikson (1968) notes it, has the same methodology as the other stages do. It begins with identification /exploration of individuals about the outer world (society) to coin a sense of identity. Then it is followed by conflicts and crises as Erikson (1968) has stated that conflicts and crises are psychosocial needs in nature. Given the right condition and enough time and space, individuals may achieve a balanced perspective of identity of what they need to be and what the society expects them to be, therefore identity has been formed. In the novel Aleph, Paulo is beginning to search the meaning of his spirituality by conducting identifications, exploration and experiments through magical and religious traditions to discover his spiritual identity. Erikson (1965) states that ne way religion promotes a sense of belongingness is through religious rituals. In this case, Paulo conducts magical and religious traditions in order to search the meaning of his spiritual being. It has made Paulo engage into a man named J. who serves as his master. The purpose of these rituals/traditions, as Erikson states it, is to promote a sense of belongingness of Paulo. In the other words, it leads Paulo to where his spirituality belongs to. Still in the same subject, what individuals need are exploring and experiment that provide them the opportunity to search the meaning of their belongingness in spiritual context. In order to explore and experiment his spiritual life, Paulo has taken the road of a pilgrim since he was a teenager. He traveled continents to search the meaning of his spiritual being and now he comes to a point where he finally understands that in order to search his spiritual being, he has to explore and experiment with his spirituality by following religious paths. As Erikson (1968) and Loder (1998) suggest, the beliefs, worldview, and values of religious traditions provide an ideological context in which individuals can generate a sense of meaning, order, and place in the world that is crucial to identity formation. Religion in Paulo's life has been becoming meaningful since he took the paths of Pilgrim since he was young. As what Erikson and Loder have stated, one way individuals can generate a sense of meaning of self is by exploring and experimenting the values of religious traditions in which Paulo has followed for years. Guided by J, Paulo has followed the religious traditions to regain the touch of his inner being/spirituality. Besides performing that religious tradition as mentioned above, spirituality can also be achieved by doing the other religious traditions such as performing confessional prayers, going to church, mosque and temple, or following the path of Pilgrimage. Since Paulo believes in Christianity, he follows the Pilgrimage Path to search his spiritual identity. This, as Erikson calls it "developmental task", is the process of exploring and experimenting to re-establish identity. The developmental tasks of finding spiritual identity are determined by the gradual process of the individuals' spiritual or religious experiences. Thus, Paulo's effort by following the religious traditions has put him in the correct order to attain his spiritual identity. Referring to the meaning of religion as mentioned above, a person may experience and generate a sense of belonging to God or a community of believers. This moving beyond the self provides the opportunity for the search for meaning and belonging that is central to the task of identity exploration (Benson, 1997; Hill et al., 2000). Thus, it proves that religion promotes a central role to spiritual identity formation. Religion helps the individual to achieve the connectedness to the Divine. In this case, Paulo has achieved the connectedness to the Divine by performing religious traditions. The developmental tasks of identity formation in spiritual context do not end by only achieving the connectedness to the Divine. There is more to do before achieving the spiritual identity. The next developmental tasks are to build the connectedness to the other human being. This kind of connectedness is personal and psychological in nature. According to Benson (1997), spirituality contributes an important role in identity formation. Spirituality brings an awareness of self in relationship to others. Therefore, spirituality helps the individuals to fulfill the developmental tasks and achieving the connectedness to the others. In achieving the spiritual balance, Erikson (in Hoare, 2002) introduces the images of the spiritual adult involved holistic concepts such as (1) actuality and mutuality: the release of defensiveness naturally acquired in attaining autonomy that frees one to participate and share effectively; (2) leeway: the freedom to be oneself and to grant such freedom to others; (3) adaptation: the move from passive acceptance of unacceptable life conditions to ego strength whereby one gains the power to fit the environment to one's needs and the needs of others; (4) insight: truth gained via contemplation of seeing into oneself and into a situation that it obliges toward ethical action; and (5) virtue and centrality: the spiritual and ethical center that with optimum resolution of life stages allows the self to be bound together around transcendent values of hope, purpose, fidelity, love, wisdom, and so on. Related to the five images of Erikson's adult spiritual, there seems to be compatibility between those characteristics and Paulo's spirituality regarding to build connectedness or harmony to the others. In Paulo's case, he builds relationships with the others to keep in touch with his inner self and his surroundings (people and environments). Having followed the path of religion, he chooses the method of his beliefs to gain his spirituality in the matter of connecting with the others by making relationships with people and his surroundings. Therefore, in order to make relationships with the others, Paulo decides to have a meeting with people he has never met before after book signing session. Relating those efforts from Paulo to the images of spiritual adult introduced by Erikson, Paulo has attained the first image as a spiritual adult, which is actuality and mutuality. Paulo releases his defensive nature to gain the autonomy as an independent person that frees him to share and participate in the party. His efforts have put him to the foundation of spiritual being of his self in relation with the others. Thus, after achieving the stage of actuality and mutuality, adults have to pass the other gradual processes in forming the spiritual identity. As Erikson (in Hoare, 2002), there are five images of spiritual adults in the adulthood stages. Those images can only be achieved by experiencing gradual processes. As Paulo moves forward in the developmental tasks, he finds that actuality and mutuality do not meet his spiritual needs. He needs to experience more spiritual processes to attain the awareness of self in spirituality. He goes forward and experiments his spiritual side by conducting more chances to meet people. Yet it seems to him, there is a woman that could be the key to explore deeper his spiritual life and the woman is Hilal. Through Hilal point of view, Paulo has already met her in past lives. Yet Paulo rejects Hilal's existence and the fact that they are bound together in this life. This leads Paulo to a state of desperation. Erikson (1968) refers to the developmental tasks of this condition as ego integrity versus despair. In this case, despair is the crisis in the developmental tasks of adulthood. These tasks involve the integration of all elements of the past and the acceptance that this is the only life to be lived. In Paulo's case, he denies the fact that he was bound to Hilal in the past times and neglecting Hilal's presence in the present time. Being in the state of desperation, Paulo is haunted by the past lives and tries to recollect solve the maze of his past lives. According to Erikson (1968), the goal of this time in life is to be able to look back on life as meaningful and fulfilling. Yet, Paulo is striving to complete these developmental tasks. In these circumstances, as what Erikson suggests, Paulo has to be able to integrate all elements of his past. In this case, Paulo seems to have contradiction towards Hilal about their past lives. In Paulo's point of view, he was priest who had made several women sentenced to death because he did not testify that the women were innocent. In the other hand, according to Hilal, Paulo was the priest and the man she loved that made him burned to death and he was responsible for doing that. As Erikson (1968) has already assumed, conflicts or crises are in nature in psychosocial. The conflicts between the two in contradicting their past lives promotes to them to a deeper spiritual side of them. Through The Aleph, they are reliving their past in a fraction of seconds. The goal of this effort, as what Erikson suggests, is to look back on life as meaningful and fulfilling. After several time revisiting the past lives, Paulo come into a realization that the goal and the meaning of this life was to fulfill the unfinished tasks from his past. He realizes that the pilgrimage leads him to fulfill his redemption for making those women in past suffer. Thus, Paulo has managed this Ego integrity versus despair. Succeeding in his developmental tasks so far, Paulo has reviewed his contributions he made to the others. Besides having form the integration of his past live, Paulo is really fulfilling Erikson's third image of spiritual adult, which is adaptations. Erikson (in Hoare, 2002) refers adaptations to the move from passive acceptance of unacceptable life conditions to ego strength whereby one gains the power to fit the environment to one needs and the needs of others. By receiving Hilal, forgiveness, Paulo has attained Erikson's image of adaptations because he has finally accepted his life conditions where he has to fulfill his redemption in this time of life. Thus, he gains the power to fit environment to his needs as an independence being and the need of other (Hilal). Those descriptions of Paulo's efforts in search of his spirituality have put him to the connectedness to the Divine and the human. Yet, Paulo has not gained the spiritual identity though he has gone through gradual processes of spirituality and religion. The final task of the developmental tasks is to integrate the concept of spirituality (connectedness to others) and religion (connectedness to the Divine) wholeness or unity. Religion and spirituality seeks to integrate rather than polarize. Therefore, spiritual identity is not only inclusive religious beliefs and practice but may also involve pathways and sacred not found in religion (Zinnbauer, Pargament, & Scott, 1999). To discover the ultimate answer of the developmental tasks, Paulo is brought to an island in the middle of Lake Baikal. The ultimate answer is similar to that Erikson's fifth image of spiritual adult, which is virtue and centrality. This image refers to the integration of spiritual ethical center that allows the self to be bound together around transcendent values hope, purpose, fidelity, love and wisdom. In the other words, if one has achieved this image of spiritual adult, therefore spiritual identity is formed. In the island, Paulo meets a shaman that guides him to engage in a traditional spirituality tradition that allows him to integrate the religious side and spiritual side of his self to achieve the ultimate answer of his search. Engaging in such spiritual tradition, Paulo has been aware of what he is and where his spiritual side leads him to. As what Erikson (1968) assumes, engaging in the spiritual provides connectedness with divine, human, or natural other, giving a young person an opportunity to experience himself or herself in relationship to God, a community of believers, or nature. Thus, Paulo's engagement to the shaman in the spiritual tradition has brought him awareness of his spiritual and religious being. Awareness that stems from this search provides the ultimate answers and perspective in the larger issues of life that are crucial to the resolution of identity crisis. Therefore, Paulo's spiritual identity has been formed after going through gradual processes of spirituality and religion. It concludes that the identity formation of Paulo is completed. CONCLUSION Based on the recent analysis of the data, the result can be concluded that Paulo has to encounter gradual process before achieving the spiritual identity. The gradual process is simplified into several steps. The first step is doing exploration and experiment. In this case, Paulo is engaging in religious tradition to explore and experiment his spiritual side. Secondly, the step is achieving Erikson's images of spiritual adult. From the analysis, Paulo has achieved three of five images of spiritual adult. The images are (1) actuality and mutuality, (2) adaptation, and (3) virtue and centrality. Thirdly, the step is facing crisis (despair). Paulo turns to despair when he cannot find the harmony between his religious and spiritual values. Besides, he is also conflicting with Hilal. The Last step is integrating religious and spiritual values (ego integrity) and discovering spiritual identity. Paulo has managed to integrate the religious and spiritual values. Therefore, Paulo is completing the spiritual identity formation. REFERENCES Benson, P. L. 1997. Spirituality and the adolescent journey. Reclaiming Children and Youth, 5, 206–209. Erikson, E. H. 1965. Youth: Fidelity and diversity. In E. H. Erikson(Ed.), The challenges of youth (pp. 1–28). Garden City,NY: Anchor. Erikson, Erik H. 1968. Identity, youth, and crisis. New York: Norton. Hill, P. C., Pargament, K. I., Hood, R. W., McCullough, M. E., Swyers, J. P., Larson, D. B., et al. 2000. Conceptualizing religion and spirituality: Points of commonality, points of departure. Journal for the Theory of Social Behavior, 30, 51–77. Hoare, C. H. 2002. Erikson on development in adulthood: New insights from the unpublished papers. New York: Oxford University Press. Hood, R.W., Spilka, B., Hunsberger, B., & Gorsuch, R. 1996. The psychology of religion: An empiricalapproach (2nd ed.). New York: Guilford. Loder, J. E. 1998. The logic of the spirit: Human development in a theological perspective. San Francisco: Jossey-Bass. Roehlkepartain, E. C., King, P. E.,Wagener, L., & Benson, P. L. (Eds.). 2006. The handbook of spiritual development in childhood and adolescence. Thousand Oaks, CA: Sage. Zinnbauer, B. J., Pargament, K. I., & Scott, A. B. 1999. The emerging meanings of religiousness and spirituality: problems and prospects. Journal of Personality, 67, 889–916.
The module was administered as a post-election interview. The resulting data are provided along with voting, demographic, district and macro variables in a single dataset.
CSES Variable Table The list of variables is being provided on the CSES Website to help in understanding what content is available from CSES, and to compare the content available in each module.
Themes:
MICRO-LEVEL DATA:
Identification and study administration variables: weighting factors; election type; date of election 1st and 2nd round; study timing (post-election study, pre-election and post-election study, between rounds of majoritarian election); mode of interview; gender of interviewer; date questionnaire administered; primary electoral district of respondent; number of days the interview was conducted after the election; language of questionnaire.
Demography: year and month of birth; gender; education; marital status; union membership; union membership of others in household; business association membership, farmers´ association membership; professional association membership; current employment status; main occupation; socio economic status; employment type - public or private; industrial sector; current employment status, occupation, socio economic status, employment type - public or private, and industrial sector of spouse; household income; number of persons in household; number of children in household under the age of 18; number of children in household under the age of 6; attendance at religious services; religiosity; religious denomination; language usually spoken at home; region of residence; race; ethnicity; rural or urban residence; primary electoral district; country of birth; year arrived in current country.
Survey variables: perception of public expenditure on health, education, unemployment benefits, defense, old-age pensions, business and industry, police and law enforcement, welfare benefits; perception of improving individual standard of living, state of economy, government's action on income inequality; respondent cast a ballot at the current and the previous election; vote choice (presidential, lower house and upper house elections) at the current and the previous election; respondent cast candidate preference vote at the current and the previous election; difference who is in power and who people vote for; sympathy scale for selected parties and political leaders; assessment of parties on the left-right-scale and/or an alternative scale; self-assessment on a left-right-scale and an optional scale; satisfaction with democracy; party identification; intensity of party identification, institutional and personal contact in the electoral campaigning, in person, by mail, phone, text message, email or social networks, institutional contact by whom; political information questions; expected development of household income in the next twelve month; ownership of residence, business or property or farm or livestock, stocks or bonds, savings; likelihood to find another job within the next twelve month; spouse likelihood to find another job within the next twelve month.
DISTRICT-LEVEL DATA: number of seats contested in electoral district; number of candidates; number of party lists; percent vote of different parties; official voter turnout in electoral district.
MACRO-LEVEL DATA: election outcomes by parties in current (lower house/upper house) legislative election; percent of seats in lower house received by parties in current lower house/upper house election; percent of seats in upper house received by parties in current lower house/upper house election; percent of votes received by presidential candidate of parties in current elections; electoral turnout; party of the president and the prime minister before and after the election; number of portfolios held by each party in cabinet, prior to and after the most recent election; size of the cabinet after the most recent election; number of parties participating in election; ideological families of parties; left-right position of parties assigned by experts and alternative dimensions; most salient factors in the election; fairness of the election; formal complaints against national level results; election irregularities reported; scheduled and held date of election; irregularities of election date; extent of election violence and post-election violence; geographic concentration of violence; post-election protest; electoral alliances permitted during the election campaign; existing electoral alliances; requirements for joint party lists; possibility of apparentement and types of apparentement agreements; multi-party endorsements on ballot; votes cast; voting procedure; voting rounds; party lists close, open, or flexible; transferable votes; cumulated votes if more than one can be cast; compulsory voting; party threshold; unit for the threshold; freedom house rating; democracy-autocracy polity IV rating; age of the current regime; regime: type of executive; number of months since last lower house and last presidential election; electoral formula for presidential elections; electoral formula in all electoral tiers (majoritarian, proportional or mixed); for lower and upper houses was coded: number of electoral segments; linked electoral segments; dependent formulae in mixed systems; subtypes of mixed electoral systems; district magnitude (number of members elected from each district); number of secondary and tertiary electoral districts; fused vote; size of the lower house; GDP growth (annual percent); GDP per capita; inflation, GDP Deflator (annual percent); Human development index; total population; total unemployment; TI corruption perception index; international migrant stock and net migration rate; general government final consumption expenditure; public spending on education; health expenditure; military expenditure; central government debt; Gini index; internet users per 100 inhabitants; mobile phone subscriptions per 100 inhabitants; fixed telephone lines per 100 inhabitants; daily newspapers; constitutional federal structure; number of legislative chambers; electoral results data available; effective number of electoral and parliamentary parties.
This doctoral dissertation evaluated the use of sustainable biomass sources (agri-food waste and residues, and industry streams) in anaerobic digestion with the goal of replacing maize silage in a large-scale biogas production and investigated alternative pathways of biogas utilisation incorporated in energy systems operating with high share of renewable energy sources. The methods applied in the research included elements of chemical and mechanical engineering in order to create a holistic approach that could be applicable to various biogas plant cases. Experimental investigations showed the biogas yield of residue lignocellulosic biomass of 0.192-0.275 Nm3/kgTS, and bulk food waste of 0.252-0.566 Nm3/kgTS. Meat and bone meal and wastewater sludge were shown to be co-substrates with antagonistic effect in biogas production, however they increased the reaction rate of overall degradation. Pyrolysis of digestate showed lower energy requirements and higher biochar yield (38%) compared to direct pyrolysis of lignocellulosic biomass (24%). The gate fee business model for receiving biodegradable waste and the implementation of new technologies, namely biogas upgrading, are the most likely options for biogas plants in the future. A robust mathematical model of power-to-gas integration showed that the installation of 18 MWel of wind and 9 MWel of photovoltaics with an additional import of 16 GWhel from the grid could produce 36 GWh of renewable methane which could be economically competitive with natural gas if the feedstock gate fee in the proposed system was -120 €/t. Geospatial availability of an energy potential of biogas production from examined feedstocks, combined with Life Cycle Assessment of the alternative biogas utilisation pathways created the synergistic effects in terms of reduced environmental burdens by 4-36 times compared to the current operation. Based on the applied methods and outcomes of the doctoral thesis, the research hypothesis "Applying holistic approach on biogas plants, both on the production and utilisation side, can increase economic profitability and environmental benefits over current subsidised operation" was tested and confirmed. The economic feasibility of biogas plants after exiting subsidy schemes will include the implementation of the gate fee business model for substrates, new investments in biomass pretreatment lines, increase of on-site biogas storage capacity and additional investments in renewable methane production system, primarily biomethane. Environmental burdens of such actions will be reduced through a contribution of biowaste management on urban and rural level, combined with the utilization of biogas for production of biomethane as a replacement to natural gas. ; Biomasa je obnovljiv izvor energije (OIE) te ima važnu ulogu u diverzifikaciji opskrbe energijom u Europskoj Uniji (EU) [1]. Ona doprinosi ravnoteži ugljikovog dioksida (CO2), stvaranju radnih mjesta, smanjenju emisija stakleničkih plinova (eng. Greenhouse gas, GHG) te osiguravanju dostupnosti resursa i njihovom ekonomičnom gospodarenju [2]. U Republici Hrvatskoj biomasa je definirana prema Zakonu o obnovljivim izvorima energije i visokoučinkovitoj kogeneraciji kao "biorazgradivi dio proizvoda, otpada i ostataka biološkog podrijetla iz poljoprivrede (uključujući tvari biljnoga i životinjskoga podrijetla), šumarstva i srodnih proizvodnih djelatnosti, uključujući ribarstvo i akvakulturu, kao i biorazgradivi dio industrijskoga i komunalnog otpada" [3]. Biomasa se može direktno koristiti kao gorivo za dobivanje energije (npr. drvna biomasa u kotlovima), ili se može biokemijskim, kemijskim, ili termokemijskim postupcima pretvoriti u materijal dodane vrijednosti – biogorivo, čime se postiže njezina šira primjenjivost u energetske svrhe [4]. Biogoriva prve generacije dobivena iz prehrambenih usjeva kao uzgojene biomase [5] naišla su na neodobravanje znanstvene zajednice i šire javnosti, primarno zbog korištenja obradivih površina za njihov uzgoj. Napredna biogoriva (druge i treće generacije [5]) proizvedena su iz biomase koja nije kompetitivna s proizvodnjom hrane, a u nju spada otpadna biomasa iz kućanstva i industrije, poljoprivredni ostatci, neprehrambeni usjevi te alge. Ova doktorska disertacija stavlja fokus na korištenje biomase u procesu anaerobne razgradnje za dobivanje bioplina. Cilj istraživanja je ostvariti sinergijski učinak između ekonomičnog korištenja otpadne biomase i proizvodnje energije u sustavima s velikim udjelom OIE kako bi se postiglo smanjenje utjecaja na okoliš u usporedbi s trenutnom praksom u bioplinskim postrojenjima koja uključuje korištenje kukuruzne silaže i proizvodnju električne energije uz zajamčenu otkupnu cijenu. Mjesto nastanka, tip biomase, te njezine količine bitan su faktor za strateško pozicioniranje novih bioplinskih postrojenja, te za planiranje novih lanaca opskrbe sirovinama u postojećim postrojenjima. Geografski informacijski sustav (eng. Geographic Information System, GIS) [6] prepoznat je kao vrijedan alat za mapiranje potencijala izvora biomase, kao i određivanje transportnih udaljenosti od mjesta nastanka biomase do postrojenja. GIS analiza na razini EU pokazala je ukupni energetski potencijal za proizvodnju bioplina iz poljoprivrednih ostataka i životinjske gnojovke na godišnjoj razini jednak 0.7 EJ (oko 195 TWh) [7], što je dvostruko više nego proizvodnja bioplina iz tih supstrata ostvarena u 2016 godini u EU. Primjenom GIS alata na lokalnoj razini u Grčkoj, Sjedinjenim Američkim Državama i Finskoj pokazano je da ekonomski prihvatljive transportne udaljenosti za supstrate mogu varirati između 10 i 40 km [8–10]. Povećanjem radijusa raspoloživosti biomase povećava se i kapacitet postrojenja čime je moguće ostvariti veću proizvodnju obnovljive energije, no istovremeno stvara se dodatan teret na okoliš, kako je još uvijek većina biomase transportirana teretnim vozilima na fosilna goriva [10]. Ono što također treba uzeti u obzir prilikom procjene korištenja biomase u bioplinskom postrojenju je njezina tržišna vrijednost, odnosno plaća li bioplinsko postrojenje za biomasu, ili dobiva naknadu za njezino gospodarenje (eng. Gate fee, GF). U postojećim okvirima proizvodnje bioplina, cijena kukuruzne silaže je između 15 i 40 € po toni sirovine [11], dok alternativni izvori biomase (npr. miješani komunalni biootpad i otpadna hrana) postižu GF u iznosu od -60 do 0 €/tona [11]. Nakon što biomasa uđe u prostor bioplinskog postrojenja, potrebno ju je adekvatno pripremiti za proces anaerobne razgradnje. U tu svrhu mogu se koristiti metode predobrade koje se služe termičkim, mehaničkim, kemijskim ili biološkim postupcima (ili nekim njihovim kombinacijama) [12]. Metode predobrade služe kako bi potaknule proces razgradnje kompleksnih polimernih molekula prisutnih u organskoj tvari, čime se postiže viša konverzija biomase u bioplin [13]. Uspješnost razgradnje biomase te proizvodnje bioplina, kao i stabilnost u procesu određuju se eksperimentalnim mjerenjima, pri čemu se prate procesne varijable kao što su sadržaj suhe tvari (eng. Dry Matter, DM, ili Total Solids, TS), proizvodnja i sastav bioplina, pH, koncentracija hlapljivih masnih kiselina (eng. Volatile Fatty Acids, VFA), ukupni anorganski ugljik (eng. Total Inorganic Carbon, TIC), prisutnost amonijakalnog dušika (eng. Ammonium-nitrogen, NH4-N), koncentracija soli, teških metala i ostalo [14]. Na temelju vrijednosti navedenih procesnih varijabli operatori bioplinskih postrojenja znaju odvija li se proces unutar dozvoljenih vrijednosti te kako reagirati ukoliko je primijećena nestabilnost u procesu. Eksperimentalni podatci također služe za modeliranje kinetike anaerobne razgradnje [15] pri čemu se ovisnosti o kompleksnosti ulaznih podataka i traženih rezultata mogu primijeniti razni kinetički modeli [16–18]. Složeniji modeli zahtijevaju veći broj ulaznih podataka, ali također daju i detaljniji uvid u mehanizam reakcija i otkrivanju tzv. uskog grla procesa koji određuje ukupnu brzinu nastanka bioplina. Osim bioplina, drugi proizvod anaerobne razgradnje je digestat kojeg čine nerazgrađeni ostatci biomase u tekućoj fazi [19]. Tekuća frakcija digestata je obično bogata makronutrijentima – dušikom (N), fosforom (P) i kalijem (K), što ju čini primjenjivom kao gnojivo za tlo [20]. Čvrsta frakcija digestata također sadrži P, ali i zaostali organski ugljik (C) što ga čini prikladnim za poboljšavanje karakteristika tla, kompostiranje [21] ili za neki od oblika energetske oporabe [22]. Prednost korištenja digestata u opisanim načinima leži u činjenici da je njegova tržišna vrijednost mala, tek 2-4 €/t [23]. Proizvedeni bioplin najčešće se koristi kao gorivo u kombiniranoj proizvodnji električne i toplinske energije, kogeneracija (eng. Combined Heat and Power, CHP). Proteklih desetljeća na razini EU mehanizmi subvencija za bioplinske kogeneracije u vidu feed-in-tariffa i feed-in-premija rezultirale su intenzivnom penetracijom bioplina u elektroenergetski sektor [24]. Razina subvencija je definirana na nacionalnoj razini, ali u svim članicama EU nije niža od 80 €/MWhel, što je gotovo dvostruko veći iznos od prosječne veleprodajne tržišne cijene električne energije u EU [25]. Također, ono što je važno napomenuti jest da su subvencije izdane na određeni period (12-20 godina od statusa stjecanja povlaštenog proizvođača električne energije [26]) nakon čega će bioplinska postrojenja morati razmotriti neke druge načine iskorištavanja (eng. Utilisation) bioplina da bi zadržale ekonomski isplativo poslovanje. Prema podatcima Europske udruge za bioplin (eng. European Biogas Association, EBA) u 2020. godini u Europi je bilo instalirano 18,943 bioplinskih postrojenja, od kojih je 18,214 (96%) radilo u kogeneracijskom načinu, a ostalih 4% kao postrojenja za proizvodnju biometana kroz tehnologiju poboljšavanja bioplina (eng. Biogas upgrading) odnosno uklanjanje svih ne-CH4 komponenti bioplina [27]. Ova doktorska disertacija detaljno razlaže inovativnije načine iskorištavanja bioplina u budućim energetskim sustavima, što će uključivati rad kogeneracijskih postrojenja u tržišnim okvirima [28], pretvorbu bioplina u biometan te proizvodnju e-metana kroz implementaciju power-to-gas (P2G) koncepta [29] u sustavima s visokim udjelom energije iz varijabilnih OIE. Primjena procjene životnog ciklusa (eng. Life Cycle Assessment, LCA) [30] može otkriti utjecaje promjene politika sirovina u proizvodnji bioplina i njegovog iskorištavanja u sprezi s budućim energetskim sustavima u odnosu na okoliš. Usporedba LCA performansi za bioplinsko postrojenje koje koristi životinjsku gnojovku i energetske usjeve pokazala je da bioplin za proizvodnju električne energije stvara uštede od oko 300 kgCO2-eq/MWhel, dok upgrading bioplina u biometan i njegovo ubrizgavanje u plinsku mrežu štedi oko 191 kgCO2-eq za proizvedeni MWh biometana [31]. Za preglednije tumačenje opisanih rezultata potrebno je izraziti emisije istom jedinicom, ali i prezentirati podatke o sastavu miksa električne energije (eng. Electricity mix). Za slučaj Irske, LCA je pokazao da integracija P2G koncepta za upgrading bioplina, uz korištenje električnog miksa od 85% OIE, može rezultirati smanjenjem GHG emisija za 70% u odnosu na fosilna goriva [32]. Na temelju pregleda literature (detaljniji prikaz u poglavlju Introduction), dosad nije zabilježeno istraživanje u području anaerobne razgradnje koje povezuje mapiranje i korištenje ostatne i otpadne biomase za proizvodnju bioplina sa njegovim iskorištavanjem u budućim energetskim sustavima. Ova doktorska disertacija je ocijenila takav cjeloviti pristup i predstavila rezultate istraživanja iz perspektive jednog, odnosno više bioplinskih postrojenja. Interdisciplinarni i cjeloviti pristup prema promatranoj temi koristio je elemente kemijskog i strojarskog inženjerstva za ispunjavanje četiri glavna cilja istraživanja: • • Kvantificirati proizvodnju bioplina koristeći nove supstrate biomase kao što su lignocelulozni ostatci iz poljoprivredne proizvodnje, otpadna hrana i industrijski nusproizvodi koji nisu konkurentni proizvodnji hrane, kao što je to slučaj s kukuruznom silažom u sadašnjoj proizvodnji bioplina. • • Procijeniti kinetičke parametre anaerobne razgradnje novih supstrata kombinirajući matematičko modeliranje i eksperimentalne podatke kako bi utvrdili utjecaj kemijskog sastava supstrata na stabilnost procesa i eventualna ograničenja u procesu. • • Utvrditi ekonomski isplative načine budućeg rada bioplinskih postrojenja na naprednim energetskim tržištima nakon što bioplinska postrojenja ostanu bez financijskih potpora i zajamčene cijene električne energije. • • Procijeniti utjecaje na okoliš različitih načina korištenja bioplina integriranih u buduće energetske sustave s visokim udjelom obnovljivih izvora energije. Ostvareni ciljevi istraživanja te rezultati prezentirani su široj znanstvenoj zajednici kroz sedam objavljenih znanstvenih radova (šest radova u kvartilu Q1 te jedan rad u Q2). Znanstveni članak 1 (ARTICLE 1) [33] prikazuje detaljnu analizu lanaca vrijednosti biomase iz različitih poljoprivrednih ostatka, nusproizvoda i otpada (eng. Agricultural wastes, co-products and by-products, AWCB). Rad opisuje faze u kojima i kako nastaje otpad kroz tri specifična koraka u lancu vrijednosti: proizvodnja/uzgoj, obrada u industriji te potrošnja/konzumacija. Analiza uključuje razdoblje od 7 godina, od 2010. do 2016. u 28 zemalja članica Europske unije (EU28) te uključuje četiri različita sektora sa 26 analiziranih dobara (eng. Commodity) i prikladnim vrstama otpada koji se pojavljuju u tim sektorima. Za izračun tehničkog potencijala AWCB korišteni su javno dostupni podaci iz EUROSTAT i FAOSTAT baze, a metoda proračuna uključivala je upotrebu specifične količine AWCB po analiziranim dobrima i sektoru. Rezultati su pokazali da je u analiziranom periodu u EU28 procijenjena količina AWCB iznosila oko 18,4 milijarde tona, a prema udjelima: animalni sektor ~ 31%, sektor povrća ~ 44%, sektor žitarica ~ 22% te sektor voća ~ 2%. Analizirajući pojedine sektore i količine nastalog AWCB, daljnje istraživanje bilo je usmjereno na evaluaciju korištenja određenih AWCB iz lanca vrijednosti biomase u procesu anaerobne razgradnje s ciljem proizvodnje bioplina. Znanstveni članci 2, 3 i 4 pokazuju rezultate takvog pristupa uz primjenu istraživačkih metoda kemijskog inženjerstva. ARTICLE 2 [34] istražuje upotrebu lignoceluloznih ostataka trave kao zamjene za silažu kukuruza u anaerobnoj razgradnji. Uzorci trave prikupljeni su s područja koja nisu kompetitivna s proizvodnjom hrane: neobrađeno zemljište, obala rijeke Save u gradu Zagrebu te bankina autoceste. U istraživanju je određen svježi i suhi prinos biomase, njezin kemijski sastav, prinos te sastav proizvedenog bioplina, a primjenom Anaerobic Digestion Model No. 1 (ADM1) modela određeni su kinetički parametri razgradnje trave. Ujedno, na kraju je dana usporedba okolišnijih učinaka zamjene kukuruzne silaže ostatnom travom u proizvodnji električne i toplinske energije. Rezultati istraživanja su pokazali da je najveći prinos ostatne trave utvrđen za obalu rijeke, sa prosječnom vrijednošću od 19 t/ha svježe mase i 2.6 t/ha suhe mase. Svi uzorci trave pokazali su zadovoljavajuće parametre za primjenu u anaerobnoj razgradnji − omjer C/N između 16.6: 1 do 22.8: 1. Ostvareni biokemijski potencijal metana u monorazgradnji (monodigestiji) ostataka trave su: 0.275 Nm3/kgTS za travu s neobrađenog zemljišta, 0.192 Nm3/kgTS za travu s obale rijeke i 0.255 Nm3/kgTS za travu s bankine autoceste. Procijenjeni kinetički parametri razgradnje trave razlikuju se od do sada objavljenih rezultata, prvenstveno zato što prijašnje analize uključuju specifične tipove travnate biomase, a ne ostatnu (miješanu) travu. Procijenjeni okolišniji utjecaji zamjene kukuruzne silaže travnatom biomasom u proizvodnji električne i toplinske energije pokazali su prednosti u smislu ostvarenog doprinosa kvaliteti ekosustava (eng. Ecosystem quality) i ljudskog zdravlja (eng. Human health), no također i nešto veće emisije GHG uzrokovane izgaranjem fosilnih goriva u poljoprivrednoj mehanizaciji i povećanim transportom trave zbog nižeg prinosa bioplina u odnosu na silažu. Čvrsta frakcija digestata dobivena u procesu monodigestije trave korištena je u znanstvenom članku 3 (ARTICLE 3) kao ulazni materijal za istraživanje procesa pirolize. Cilj istraživanja u ARTICLE 3 [35] bio je odrediti utjecaj anaerobne razgradnje na sastav lignocelulozne biomase korištenjem termogravimetrijske analize (eng. Thermogravimetric analysis, TGA). Također, procijenjeni su iznosi energije aktivacije i modificiranog predeksponencijalnog faktora za travu i njezine digestate, kao i prinos konačnog ostatka pirolize (eng. Biochar). Rezultati su pokazali da je procijenjena količina razgrađene celuloze i hemiceluloze u istraživanim uzrocima trave oko 44–50%. Nadalje, digestati trave pokazali su veći prinos biochar-a (oko 38%) u odnosu na uzorke trave (oko 24%). Kombinirani proces anaerobne razgradnje trave i pirolize njezinih digestata pokazao je manje vrijednosti procijenjenih kinetičkih parametra što upućuje na niže energetske potrebe takvog procesa u odnosu na direktnu pirolizu trave. ARTICLE 4 [36] bio je izrađen u suradnji sa industrijom biomase i bioplina. U radu je eksperimentalno istražena razgradnja otpadne hrane (eng. Food waste, FW) iz bioplinskog postrojenja zajedno s nusproizvodnima iz kafilerije (eng. Rendering plant): mesno-koštano brašno (eng. Meat and bone meal, MBM) i mulj sa otpadnih voda (eng. Wastewater sludge, WWS). Prvo je provedena termička predobrada uzoraka FW (FW1 i FW2) pri temperaturi od 35 °C i trajanju 5 dana u koju su bili dodani MBM i WWS u udjelima od 5, 10 i 15% TS. Nakon toga slijedila je anaerobna razgradnja pri 40.5 °C u trajanju od 40 dana. Uvjeti termičke predobrade i proizvodnje bioplina u laboratorijskom mjerilu replicirani su iz rada samog bioplinskog postrojenja. Također, za vrijeme procesa u laboratoriju bile su praćene sve procesne varijable kao i u radu digestora na postrojenju. Kao rezultat predobrade kemijska potrošnja kisika (eng. Chemical Oxygen Demand, COD) ispitivanih uzoraka povećala se za 7 – 26%. Dodavanjem MBM u FW1 došlo je do povećanja vrijednosti COD kao i NH4-N, dok se u slučaju dodatka WWS u FW2 postiglo smanjenje, što je i bilo očekivano, budući da je WWS materijal s niskim udjelom organske tvari. Kao rezultat testa anaerobne razgradnje dobiveni su sljedeći prinosi bioplina: za FW1 – 0.566 Nm3/kg TS, za FW1-MBM – 0.499 Nm3/kg TS, za FW2 – 0.252 Nm3/kg TS i 0.195 Nm3/kg TS za FW2-WWS. Tako širok raspon vrijednosti rezultat je heterogenosti FW (FW1 i FW 2 uzete su s vremenskim razmakom od dva mjeseca na istom postrojenju). Prema sastavu proizvedenog bioplina, kao i ostalim procesnim varijablama može se zaključiti da su FW1 i FW2 vrlo slični po sastavu, ali da je istovremeno postojao neki uzročnik inhibicije u proizvodnji bioplina za uzorak FW2, koji se nije mogao procijeniti na temelju dostupne opreme i provedenih mjerenja. Tek su mjerenja električne vodljivosti ukazala na to da uzorak FW2 sadrži nešto veću koncentraciju soli koja bi mogla biti uzročnik smanjenog prinosa bioplina. Nusproizvodi kafilerije dodani u 5%-tnom udjelu uzrocima FW rezultirali su smanjenjem proizvodnje bioplina za 12% u slučaju MBM i 23% u slučaju WWS, ali nisu utjecali na stabilnost proizvodnje. Štoviše, analizom kinetike razgradnje ustanovljeno je da MBM i WWS ubrzavaju proces razgradnje FW što se vidi iz višeg iznosa reakcijske konstante. Također, pokazano je da ispitivani uzorci najbolje koreliraju sa kinetikom prvog reda što je vidljivo iz najniže ostvarene vrijednosti RMSE (eng. Root mean square error) koja je iznosila 0.015 Nm3/kg TS. U znanstvenom članku 5 (ARTICLE 5) [37] provedena je tehno-ekonomska i scenarijska analiza rada bioplinskog postrojenja nakon isteka subvencija za proizvodnju električne energije. Vođenje takvog sustava temeljilo se na iznosu cijena električne energije i biometana (eng. Unit commitment with economic dispatch) koje su određivale koja od jedinica za prihvat bioplina: CHP, upgrading ili spremnik ima najveću ekonomsku isplativost u danom trenutku. Za opis dinamike korišten je program MATLAB/Simulink, a za ekonomsku analizu MS Excel. U prvom scenariju prikazan je utjecaj cijene proizvodnje električne energije u bioplinskom postrojenju (eng. Break-even point of electricity production, BECPel) na broj radnih sati kada ono može ostvariti svojevrstan profit na dan-unaprijed tržištu (eng. Day-ahead market) električne energije. Rezultati su pokazali da kada vrijednost BECPel postane 40 €/MWhel, bioplinsko postrojenje može ostvariti (neki) profit radeći samo 4,000 sati godišnje, kako je ostalo vrijeme cijena električne energije na tržištu niža od cijene proizvodnje. Kada BECPel postane 100 €/MWhel bioplinsko postrojenje ne može ostvariti nikakav profit radeći na dan-unaprijed tržištu. Kao jedno od rješenja koje se nameće za smanjenje vrijednosti BECPel je korištenje supstrata s negativnom cijenom (GF model) koja je detaljnije prikazana u članku 6 (ARTICLE 6). Drugi scenarij uključivao je instaliranje upgrading jedinice i proizvodnju biometana, a proizvodnja električne energije ovisila je o cijenama na tržištu uravnoteženja (eng. Balancing market). Takav pristup je pokazao da bioplinsko postrojenje i uz relativno visoku cijenu biometana od 80 €/MWh, može u određenim trenutcima ostvariti i veći profit ako radi na balancing tržištu. Treći scenarij za bioplinsko postrojenje uključivao je integraciju industrijskog otpada iz proizvodnje šećera za proizvodnju bioplina i njegovo korištenje za proizvodnju procesne topline u vrijeme šećerne kampanje. Takav pristup pokazao se relativno neisplativim za bioplinsko postrojenje kako je cijena prirodnog plina na veleprodajnom tržištu još uvijek dosta niska i bioplin joj ne može u tom smislu biti konkurentan. ARTICLE 6 [38] predstavlja rezultate integracije P2G koncepta u rad bioplinskog postrojenja koje se nalazi u GF poslovnom modelu, odnosno prima naknadu za ulazni supstrat pri proizvodnji bioplina. Cilj istraživanja bio je razviti robustan matematički model na satnoj razini za procjenu optimalnih kapaciteta vjetroelektrane i solarne elektrane, veličine spremnika za bioplin te kapacitete elektrolizera, upgrading jedinice i metanatora (eng. Methanation unit) koristeći linearno programiranje i besplatni (eng. Open source) programski jezik Julia. Kao funkcija cilja korištena je minimizacija ukupnih troškova. Matematički model testiran je na postojećoj bioplinskoj elektrani instalirane snage 1 MWel. Utvrđeno je da P2G koncept zahtijeva integraciju 18 MWel vjetra i 9 MWel solara na lokaciji, uz dodatan uvoz električne energije iz mreže u iznosu 16 GWhel kako bi se na godišnjoj razini proizvelo 36 GWh obnovljivog metana. Analiza je pokazala da GF (u promatranom slučaju za otpadnu hranu) značajno doprinosi ekonomskoj održivosti obnovljivog metana: promjena GF za 100 €/toni rezultira smanjenjem troškova njegove proizvodnje za 20-60%. Ustanovljeno je da za vrijednost GF=-120 €/tona obnovljivi metan iz prikazanog koncepta postaje cjenovno konkurentan prirodnom plinu. Robusna priroda modela pokazala je da nesigurnosti povezane s proizvodnjom električne energije iz vjetra i solara na lokaciji mogu povećati troškove proizvodnje obnovljivog metana za 10-30%. ARTICLE 7 [39] integralno obuhvaća rezultate svih dotad objavljenih radova u sklopu izrade doktorske disertacije i smješta ih u kontekst testiranja hipoteze. U njemu je provedena geoprostorna analiza (eng. Geospatial analysis) bioplinskog sektora korištenjem javno dostupnog programa QGIS te procjena okolišnijih utjecaja pomoću programa SimaPro. Cilj rada bio je mapirati energetski potencijal otpadne trave, industrijskih nusproizvoda i otpada, te komunalnog biootpada (otpadne hrane) za zamjenu kukuruzne silaže u postojećoj proizvodnji bioplina te planiranje proširenja bioplinskog sektora. Kao studija slučaja (eng. Case study) korištena je Sjeverna Hrvatska (eng. Northern Croatia), područje s intenzivnim bioplinskim sektorom te snažnom industrijom, poljoprivredom i velikom gustoćom stanovništva. Rezultati su pokazali da bi navedene sirovine mogle zamijeniti 212 GWh bioplina iz kukuruzne silaže u postojećim bioplinskim postrojenjima te stvoriti dodatnih 191 GWh biometana u novim postrojenjima. Također, geoprostorna analiza je pokazala da su neka bioplinska postrojenja izgrađena u neposrednoj blizini plinske transportne mreže (<2km udaljenosti) i da imaju potencijal za utiskivanje biometana u plinsku mrežu. Cjelokupna analiza utjecaja na okoliš postojećih bioplinskih postrojenja pokazala je da integralni pristup proizvodnji i korištenju bioplina stvara sinergijske učinke u smislu smanjenja opterećenja na okoliš, što izravno dokazuje hipotezu studije. Kompleksnost P2G koncepta i njegovi intenzivni energetski zahtjevi čine ga trenutno nepovoljnijim u usporedbi sa klasičnim upgradingom bioplina, no isti dolazi do izražaja kada se u razmatranje uzmu budući energetski sustavi s visokim udjelom OIE. Znanstveni doprinosi ovog rada ostvareni su kroz provedena istraživanja te prikazani kroz objavljene rezultate u radovima kako slijedi: • Eksperimentalnim istraživanjem anaerobne razgradnje novih supstrata biomase odredit će se potencijalne prepreke u proizvodnji bioplina, poput pojave inhibicije ili utjecaja tipa biomase na stabilnost procesa: ARTICLE 2: Ustanovljeno je da lignocelulozna biomasa u obliku ostatne trave ne sadrži fizikalno-kemijske karakteristike koje bi ograničile njezinu upotrebu za proizvodnju bioplina. Štoviše, pokazalo se da ista uzrokuje poboljšanu kontrolu pH što doprinosi stabilnosti proizvodnje bioplina. Nedostatak njezinog korištenja je taj što je za ostvarivanje većih prinosa potrebno primijeniti neki oblik predobrade. ARTICLE 4: Heterogenost otpadne hrane utječe na vođenje procesa za što je potrebno ustanoviti robusnu kontrolu procesnih varijabli. Pokazalo se da i na razini bioplinskog postrojenja postoje neke varijable koje se ne prate na dnevnoj razini (prisutnost soli i metala), a koje mogu uzurpirati proizvodnju bioplina. Ustanovljeno je da kafilerijski nusprodukti i otpad u manjim količinama mogu doprinijeti povećanju brzine razgradnje otpadne hrane. • Predložiti alternativne mjere za trenutni sektor bioplina uzimajući u obzir tržišne cijene i analizu utjecaja na okoliš koristeći pristup procjene životnog ciklusa. ARTICLE 5: Alternativne mjere za bioplinski sektor u vidu proizvodnje biometana i rada bioplinskih postrojenja na day-ahead i balancing tržištu električnom energijom pokazala se kao najvjerojatnija opcija nakon napuštanja poticajnih sustava za proizvodnju električne energije. U takvim okvirima tranzicija s kukuruzne silaže na supstrate alternativne supstrate postati će prihvatljiva operativna odluka uz dodatne investicije u novu opremu. ARTICLE 6: Integracija varijabilnih OIE u rad bioplinskih postrojenja pokazala je da će se u budućnosti paradigma bioplinskih postrojenja kao takvih promijeniti – više neće biti samo pasivni proizvođači struje, nego će postati aktivni sudionici na tržištima energijom. ARTICLE 2: Pokazano je da otpadana trava više doprinosi kvaliteti ekosustava i ljudskom zdravlju nego kukuruzna silaža, iako uzrokuje veće emisije stakleničkih plinova, prvenstveno zbog intenzivnijih potreba za transportom na fosilna goriva. ARTICLE 7: LCA predloženih mjera za sektor bioplina koje uključuju zamjenu kukuruzne silaže alternativnih oblicima biomase te iskorištavanje bioplina u sustavima s visokim udjelom OIE pokazala je sinergistički efekt u smislu smanjenja cjelokupnog tereta na okoliš. Analiza je također pokazala da je integracija P2G u promatranim okvirima još uvijek neatraktivna zbog kompleksnosti sustava i energetski intenzivnih procesa. • Napredni model geografskog informacijskog sustava mapiranja novih izvora biomase koji će u kombinaciji s različitim načinima korištenja bioplina integriranim u sustave visokih obnovljivih izvora energije u naprednim energetskim tržištima rezultirati robusnim matematičkim modelima primjenjivim na različite slučajeve bioplinskih postrojenja. ARTICLE 6: Razvijeni robusni model integracije P2G koncepta u rad bioplinskog postrojenja pokazao je sinergiju između GF poslovnog modela te integracije obnovljive električne energije i topline koji su objedinjeni u postavljenoj matematičkoj formulaciji nivelirane cijene obnovljivog metana (eng. Levelized cost of renewable methane, LCORM). ARTICLE 7: Razvijeni GIS model obuhvaća analizu postojećih bioplinskih postrojenja i pozicioniranje budućih biometanskih postrojenja na temelju geoprostorne analize dostupnih alternativnih supstrata i položaja plinske mreže. Hipoteza ovog istraživanja je da je primjenom cjelovitog pristupa u radu bioplinskih postrojenja, i na strani proizvodnje i iskorištavanja bioplina, moguće povećati ekonomsku profitabilnost i doprinos zaštiti okoliša u usporedbi s trenutnim subvencioniranim radom. Kroz provedena istraživanja hipoteza je testirana i potvrđena uzevši u obzir sljedeće: • Ekonomska profitabilnost bioplinskih postrojenja nakon napuštanja subvencija i ograničenja u korištenju kukuruzne silaže bit će teže ostvariva. Uključivat će implementaciju GF poslovnog modela za supstrate za što će biti potrebne nove investicije po pitanju linije za predobradu, povećanje kapaciteta za spremanje bioplina na lokaciji kako bi postrojenje bilo fleksibilnije na tržištu električne energije te dodatne investicije u sustav za proizvodnju obnovljivog metana, prvenstveno biometana. • Cjeloviti pristup pokazao je da će doprinos budućeg bioplinskog sektora smanjenju okolišnih tereta ići kroz dvostruki doprinos: iz gospodarenja otpadom za proizvodnju bioplina koji će uključivati prvenstveno komunalni i industrijski biootpad u urbanim bioplinskim postrojenjima, a poljoprivredne ostatke u ruralnim bioplinskim postrojenjima, te iskorištavanja bioplina za proizvodnju obnovljive energije u vidu biometana.
In: Strak , M , Weinmayr , G , Rodopoulou , S , Chen , J , de Hoogh , K , Andersen , Z J , Atkinson , R , Bauwelinck , M , Bekkevold , T , Bellander , T , Boutron-Ruault , M-C , Brandt , J , Cesaroni , G , Concin , H , Fecht , D , Forastiere , F , Gulliver , J , Hertel , O , Hoffmann , B , Hvidtfeldt , U A , Janssen , N A H , Jöckel , K-H , Jørgensen , J T , Ketzel , M , Klompmaker , J O , Lager , A , Leander , K , Liu , S , Ljungman , P , Magnusson , P K E , Mehta , A J , Nagel , G , Oftedal , B , Pershagen , G , Peters , A , Raaschou-Nielsen , O , Renzi , M , Rizzuto , D , van der Schouw , Y T , Schramm , S , Severi , G , Sigsgaard , T , Sørensen , M , Stafoggia , M , Tjønneland , A , Verschuren , W M M , Vienneau , D , Wolf , K , Katsouyanni , K , Brunekreef , B , Hoek , G & Samoli , E 2021 , ' Long term exposure to low level air pollution and mortality in eight European cohorts within the ELAPSE project : pooled analysis ' , BMJ (Clinical research ed.) , vol. 374 , n1904 . https://doi.org/10.1136/bmj.n1904
OBJECTIVE: To investigate the associations between air pollution and mortality, focusing on associations below current European Union, United States, and World Health Organization standards and guidelines. DESIGN: Pooled analysis of eight cohorts. SETTING: Multicentre project Effects of Low-Level Air Pollution: A Study in Europe (ELAPSE) in six European countries. PARTICIPANTS: 325 367 adults from the general population recruited mostly in the 1990s or 2000s with detailed lifestyle data. Stratified Cox proportional hazard models were used to analyse the associations between air pollution and mortality. Western Europe-wide land use regression models were used to characterise residential air pollution concentrations of ambient fine particulate matter (PM2.5), nitrogen dioxide, ozone, and black carbon. MAIN OUTCOME MEASURES: Deaths due to natural causes and cause specific mortality. RESULTS: Of 325 367 adults followed-up for an average of 19.5 years, 47 131 deaths were observed. Higher exposure to PM2.5, nitrogen dioxide, and black carbon was associated with significantly increased risk of almost all outcomes. An increase of 5 µg/m3 in PM2.5 was associated with 13% (95% confidence interval 10.6% to 15.5%) increase in natural deaths; the corresponding figure for a 10 µg/m3 increase in nitrogen dioxide was 8.6% (7% to 10.2%). Associations with PM2.5, nitrogen dioxide, and black carbon remained significant at low concentrations. For participants with exposures below the US standard of 12 µg/m3 an increase of 5 µg/m3 in PM2.5 was associated with 29.6% (14% to 47.4%) increase in natural deaths. CONCLUSIONS: Our study contributes to the evidence that outdoor air pollution is associated with mortality even at low pollution levels below the current European and North American standards and WHO guideline values. These findings are therefore an important contribution to the debate about revision of air quality limits, guidelines, and standards, and future assessments by the Global Burden of Disease.
This thesis studies how expectations a ect scal policy transmission. It revisits the empirical evidence on the domestic and cross-border e ects of fiscal policy at the light of scal foresight. Fiscal measures are the result of a complex decision process, entailing long lags be- tween the moment when the decision is taken and when it is e ectively implemented. It follows that scal policy can be easily anticipated, with agents modifying their actions when they receive signals about changes in policy, well before the actual implementation. This anticipation poses non-trivial challenges for the empirical analysis. It implies that economic variables may move well before the policy shocks estimated in macroeconomic models take place. Overlooking the e ects of anticipation can be a major problem in VAR models. The parsimony required to conserve degrees of freedom makes the information carried by the few endogenous variables contained in the model much smaller than the information possessed by private agents. This leads to a problem of non-fundamentalness that might bias estimation results. The predictability of scal actions is likely to in uence their cross-border e ects as well. National scal policies can a ect other countries through a variety of potential channels. First, an increase in public spending could fall on foreign products, stimulating directly the foreign economy. Second, an expansionary policy could stimulate domestic economic activity, leading to more imports from other countries and thus helping to stimulate foreign activity as well. Third, if the scal expansion results in higher public debt, it could push long-term interest rates up in nancial partners, crowding out private investment. Government's nances could even become unsustainable with the risk of a systemic crisis. The innovative contribution of this thesis is to study scal spillovers and scal an- ticipation together. The aim is to estimate how national scal measures a ect foreign economies through an approach that allows to solve the problem of non-fundamentalness in VAR analysis, while at the same time assessing the role of expectations for the inter- national transmission of scal policy. The questions of interest that this analysis aims at answering are the following: are policy shocks estimated in standard scal VAR models really unanticipated? How does anticipation in uence domestic and cross-border e ects? What are the implications for real economic activity of a change in forecasts about policy actions? Should governments consider the implications of their claims and actions for the formation of expectations? Should national scal policies be coordinated at a supra- national level? These questions have important policy implications that encouraged me to delve into these issues further and study them in depth. The thesis comprises three chapters. The rst chapter provides a survey of the VAR models used in the empirical literature. The second and third chapters assess from a 1 di erent perspective and with a di erent focus how the anticipation of future policy regimes changes the transmission of scal shocks. The rst chapter reviews how the econometric model adopted in this thesis -the vector autoregression (VAR) - has been used in the empirical literature on scal policy. First, it illustrates the basic characteristics of the VAR approach, describing the reasons behind its widespread use in applied macroeconomic research. Second, it analyzes the challenges that the VAR approach poses. Standard VAR models need to be identi ed in order to perform structural analysis, giving economic meaning to the shocks estimated in these systems. This chapter reviews the di erent approaches proposed in the literature to solve the problem, classifying them in four main categories. Standard VAR models are also low- dimensional models. The parsimony is imposed in order to conserve degrees of freedom and implies that VAR models can carry only a limited amount of information. The misalignment of the information space between private agents and econometricians may lead to a problem of non-fundamentalness, biasing the estimation of policy innovations. Discussing the solutions to this problem, I describe some innovative speci cations of the basic approach which address this issue by taking advantage of the improvements in computing power and data availability (GVAR, FAVAR, Panel VAR). An ulterior limitation of standard VAR models is linearity. In this regard, this chapter outlines a further enhancement which allows for time-varying relationships among endogenous variable (TVC-VAR). Finally, the rst chapter focuses on reviewing how VAR models have been used to study the international transmission of scal shocks, addressing the issue of cross-border e ects. The second chapter estimates the impact of expectations on scal spillovers. More precisely, the analysis studies how the anticipation of the future scal stance a ects the international transmission of scal measures in the US. To address this challenge use a set of two-country Bayesian VAR models. In each model, the US is the domes- tic economy, considering its leading role in the global economy. As foreign countries, I include Canada, France, Germany and UK because they represent the lion share of US foreign trade. The innovative feature of this contribution is to apply an identi - cation strategy which di erentiates an unanticipated or surprise shock from a foresight or news shock. The former represents a discretionary increase in government spending that was not foreseen by agents. The latter represents news received by agents which a ect their expectations about prospective policy actions. The Philadelphia FED Survey of Professional Forecasters provides the data used to construct the indicators of scal forecast. This approach has a twofold advantage: it allows to address the problem of non-fundamentalness, as well as to assess the international repercussions of both surprise and foresight shocks. Results show the importance of expectations for the international transmission of US scal policies. A surprise scal stimulus has negligible cross-border e ects when it is associated with expectations of spending reversals. Foresight shocks, on the contrary, are associated with expectations of increasing government spending and yield positive spillovers, despite no expansionary action is taken. The sign and magnitude of these external e ects are country sensitive, suggesting an active role of country-speci c factors in a ecting the international transmission of US scal policies. These ndings provide novel evidence in support of the hypothesis that foresight alters scal policy e ects on a national and international level. The third chapter provides further evidence in support of the hypothesis that scal policy is largely anticipated and its e ects depend on expectations. The analysis draws on two-country VAR models between major European economies and applies the same identi cation approach adopted in the second chapter, using this time the o cial fore- casts of the European Commission to construct the indicators of scal forecast. Data refer to Italy, France and Germany over the period 1971-2011. This third contribu- tion rst documents the forecasting accuracy of the European Commission forecasts and shows that they help address the problem of non-fundamentalness in scal VAR models. Then, it identi es surprise and foresight shocks through a recursive ordering in which the realized policy does not react within the year to innovations in any other variable in the system. The expected policy, on the contrary, is allowed to react to innovations in the realized policy, re ecting the revision of expectations upon arrival of news. The ndings show that an unanticipated scal stimulus leads to expectations of strong de cit reversals over the subsequent two to three years. This in turn depresses domestic and foreign activity over the same horizon. Foresight shocks, on the contrary, have positive e ects on domestic activity. Di erences in the responses to surprise and foresight shocks re ect the role of expectations. The evidence is consistent with a regime where de cit reversals are mainly based on taxation alone and suggests that the incentive to reform scal regimes in an uncoordinated way may be small, while incentives for opportunistic behavior may be strong. Final Remarks The thesis has examined how the anticipation of future policy regimes in uence the e ects of discretionary scal actions on a national and international level. The analysis draws on the VAR approach with an identi cation scheme that allows to estimate the e ects of truly unanticipated scal measures as well as changes in expectations about future policies. The results obtained provide support to the hypothesis that foresight a ects signi cantly the response of domestic and foreign economies to scal policy. More in details: Chapter 2 tells us that a scal stimulus in the US produces a temporary boost in domestic output and has no e ects on foreign economies as long as it is associated with expectations of spending reversals. Conversely, the anticipation of an expansionary policy has positive e ects on both domestic and foreign output, despite no scal measure is taken. Chapter 3 tells us that expectations about future policy actions in uence the trans- mission of scal policy in Europe. Expansionary policies associated with previsions of strong expenditure retrenchments over the subsequent two to three years depress domes- tic and foreign activity over the same period. Forecasts of expansionary de cit- nanced measures, on the contrary, have positive e ects on domestic output. The evidence provided in this thesis has non-negligible policy implications. First, it shows that the e ects of scal policy depend strongly on how agents foresee future policy actions. Second, it highlights that scal policy is e ective as long as it succeeds in steering expectations. This revives the debate on the credibility of policy institutions as a necessary prerequisite for optimal policy. Third, it con rms the existence of scal cross-border e ects, providing support to the theory that a coordinated approach to scal policy on an international base could be bene cial. In this regard, it also suggests that the incentive to reform scal regimes in an uncoordinated way may be small. On the one side, the incentives for opportunistic behavior may be strong. The thesis can be extended further in a number of directions. For example, the proposed VAR analysis can be applied to a panel dataset, exploiting the cross-country dimension much further through the analysis of dynamic and static interdependencies. Another direction for extension of this research concerns the possibility to allow for regime-dependent responses. Strong recessions or persistent periods of steady economic growth can in uence the way agents formulate forecasts, changing the e ects that these forecasts have on scal policy transmission.
It is well established that bacteria are the first organisms to adhere and colonize both abiotic and biotic surfaces. Their subsequent multiplication and production of exopolymeric substances (EPS) bring to biofilm formation which is believed to influence the settlement of following colonisers starting biofouling process on surfaces. Biofilm and fouling often have a deleterious effect on colonized surfaces and materials. They explicate a complex and various range of processes on abitic surfaces that cause physical damages, chemical alterations, loss of functionality and discolouration of surfaces, generating tremendous environmental and economical harm for human society. The control of the deleterious biofilm and the following fouling is today a great challenge. Currently, we have two choices: to remove biofilm by traditional methods or to research new effective antifouling approaches. Traditional techniques consist mainly in the application of biocides, however this practice has several disadvantages. In fact, traditional biocides are not generally specifically target against detrimental microorganisms and they are often potentially toxic both for humans and the environment. In addition, biological matter released by their use can offer a favourable substratum for subsequent colonisations. Others problems concern the development of resistance in target pest populations and the low biodegradability of these chemicals. Moreover, biocides are not always effective at low concentrations because life inside the biofilm leads to increased resistance to antimicrobial products up to 1000-fold compared to planktonic cells. Finally, current legislation in UE and USA regulates the use of biocides and lately several products have been withdrawn from the market. New antifouling strategies need to be effective, economic, safe for the public and to pose negligible risk to human health and the environment. In the last years new strategies able to control biofilm growth have been proposed as alternative to traditional active substances. However, several years will be required to set up and test satisfactory methods, so, these novel strategies can be only a long term solution. In the meantime, as short term solution, it is vital to study methods for a more sustainable use of traditional antimicrobial agents. Therefore, the aims of the PhD project here presented were: 1) to use biocides for the removal of deleterious biofilm from relevant abiotic surfaces in the most sustainable way; 2) to exploit the ability of a new promising inorganic compound, the photocatalytic titanium dioxide, as an innovative non-toxic antifouling system to control biofilm formation on abiotic surfaces. The study reported in the chapter 3 addresses the first aim. Generally, broad-range biocides are used to remove alterative biofilms from historical and artistic surfaces. In order to obtain a use as sustainable as possible of antimicrobial agents, the strategy has been to identify alterative microorganisms so as to use a suitable biocidal product which targets specifically the biodeteriogen agents. In this work, for the first time, an integrated biotechnological system that enables the cleaning of cultural heritage stone affected by both biological and chemical alteration process was used. The study was conducted on alterations found on two stone sculptures decorating the courtyard of the Buonconsiglio Castle in Trento (Italy). Stone, especially if exposed to the weather, is subject to chemical, physical and aesthetical deterioration. In this regard, pollution and environmental parameters play an important role since they are most responsible of deterioration process. Samples from altered and unaltered areas were characterized using stereomicroscope, cross-section observations and Fourier transform infrared (FTIR) analyses. Results reveled that stone was an oolitic limestone and changes were both discolorations ascribed to biological agents and chemical alteration represented by black crusts composed mainly by gypsum with a small amount of calcite, nitrate and silicates. Cultural and biomolecular methods were adopted to study microbial biofilm from powders samples. The cultural analyses proved that heterotrophic bacteria, fungi and prokaryotic and eukaryotic algae were present on surfaces and that in some samples the counts were quite high (up to 7 logCFU/g for bacteria and up to 6 logCFU/g for fungi). Denaturing gradient gel electrophoresis (DGGE) and sequencing from total DNA extracted allowed to identify taxa of microorganisms causing discolorations: they were Cyanobacteria, Chlorophyta green algae (Myrmecia and Friedmannia), Streptophyta green algae (Klebsormidium), microcolonial black fungi (Alternaria and Cladosporium) and other species of fungi able to deposit melanin in the cell wall (Verticillium). Fluorescent in situ hybridisation (FISH) highlighted that the Cyanobacteria generally were dominant (more than 60%) among the other prokaryotics belonging to the Bacteria domain. In this case, in order to remove the discolourations, despite the initial purpose to use a product that targeted only the small population of harmful microorganisms, we were forced to choose the biocide BIOTIN N (constituted by a mixture of tributyltin naphthenate (20% w/v) and didecyl dimethyl ammonium chloride (35% w/v)) with a broad spectrum of activity due to the taxonomical variety of the biodeteriogens. The same traditional and biomolecular methods were carried out on the samples collected after the cleaning to verify the removal of alterative microorganisms. Treatment with the biocide resulted in a decrease of the bacterial load (up to five orders of magnitude), and neither culturable fungi nor culturable prokaryotic and eukaryotic algae grew. Indeed the DGGE profiles showed far fewer bands than before treatment and proved that Cyanobacteria and most of the green algae and dematiaceous fungi had been efficiently removed. Chemical alterations were removed by a biocleaning treatment, an innovative, efficient and highly selective bioremediation technology, alternative to the use of chemicals, that uses viable cells of sulphate-reducing bacteria able to remove sulphates from stone ornamental surfaces. In this work for the first time this approach was applied on limestone. Sulphate-reducing bacteria have been Desulfovibrio vulgaris subsp. vulgaris (ATCC 29579). The treatment consisted in three 12-h applications for a total duration of 36 h. Comparison of the results of the chemical analyses performed before and after the biocleaning proved that gypsum, nitrates and silicates were almost completely removed. In addition, both optical evidence and FTIR analysis showed that the limestone substratum was preserved. In general, the cases of biofilms with large taxonomical variety (as the biofilms on the sculptures from Buonconsiglio Castle in Trento) are very frequent. Therefore, due to the side-effects of biocides, the development of alternative strategies for the prevention and control of deleterious biofilm becomes imperative. They must allow to protect materials from biodeterioration, and thus preserve their usefulness for as long as possible. In addition, new approaches must be safe for human beings and the environment. The study reported in the chapter 4 refers to this second aim of the project. The ability of photoactivated titanium dioxide (TiO2), a promising alternative to biocide for the biofilm control and prevention, was investigated. The biocidal activity of TiO2 against planktonic cells thanks to its strong photocatalytic properties has been reported since 1985. TiO2 per se is non-toxic, as the tests in rats prove, and has been approved by the American Food and Drug Administration (FDA) for use in human food, drugs, cosmetics and food contact materials. Moreover, it is considered an environmentally friendly photocatalyst, it is relatively inexpensive, chemically stable and effective under weak solar irradiation in ambient atmospheric environment. Few attention was dedicated to study the potential of photocatalytic TiO2 against the bacterial biofilm so far. The aim was to investigate the ability of photocatalytic TiO2 as a new non-toxic antifouling nanotechnology to deter and prevent the attachment and biofilm formation of selected bacteria on TiO2-coated surfaces. Aeroxide P25 (Degussa) was employed as source of TiO2. The effects of both photocatalyst nanopowder suspensions (3g/l concentration) and thin TiO2-film applied on glass coverslides by sol-gel method were valued. During the experiments TiO2 was photoactivated by a lamp emitting radiation over a UV-A wavelength range with light intensity similar to outdoor solar irradiation (between 3000 and 500 μW/cm2). An efficient protocol for the photoactivation of TiO2 was set up degrading the dye rhodamine B. Thus activity was investigated on Bacillus cereus-group sp. (Gram-positive) and P. stutzeri and P. aeruginosa (Gram-negative) planktonic cells. The results proved that photoactivated TiO2 provoked a significant decrease of CFU/ml. Biocidal activities of nanopowder suspension in demineralised water in Bacillus sp., P. stutzeri and P. aeruginosa were respectively 1-log reduction after 24 h, 2-log reduction after 30 min and 1-log reduction after 2 h compared to non-photoactivated TiO2. TiO2 thin film also produced a complete disinfection of P. aeruginosa planktonic cells in 24 h. Finally, the activity of photoactivated TiO2 was investigated on P. aeruginosa biofilm at various formation steps both at the solid-liquid and at the solid-air interface. It was proved that neither TiO2 nanopowder nor photocatalytic film showed any biocidal activity on P. aeruginosa biofilm at all the interfaces investigated. The experiments have demonstrated that the lack of cell inactivation by photocatalytic action on biofilm was not due to 1) the presence of phosphates that could block active sites on the catalyst surface, 2) scavenge oxidative radicals produced at the surface, nor to insufficient presence of O2 at the TiO2 surface, which maintains charge transfer in photocatalytic reactions, 3) biofilm growth that screens UV-A light, deactivating TiO2, 4) insufficient build-up of photocatalytically-generated reactive species necessary for cell inactivation. In addition, confocal laser scanning microscope analysis demonstrated that not even exopolysaccharides produced by biofilm cells were the cause of fail inhibition since almost absent in the very young tested biofilms. The only possible explanation for these findings was that the cells, when live in sessile form, invoke a genetic response that imparts them an increased resistance to oxidative stress generated by photoactivated TiO2. In conclusion, the studies reported here have demonstrated that: a) Biotechnologies could facilitate a more sustainable use of biocides addressing the choice toward a suitable product that targets only the biodeteriogen microorganisms. b) The biocleaning treatment is an effective technology, alternative to use of chemicals, to remove selectively sulphates from stone. c) The photocatalytic TiO2 is not a good candidate to develop an effective technology that is alternative to traditional biocides for the control of deleterious biofilm. Further studies with other promising environmentally-friendly compounds may provide new ways to move forward in the search and to pursue the goal of an efficient surface coating methods able to prevent biofilm formation or, at least, to interfere with their inconvenient increased resistance to biocides, respecting the human health and environment. The research for new non-toxic antifouling strategies continues.
C ontents -- Part 1. Theory -- To Understand Economics, Follow the Money: To Understand Ecosystems, Follow the Energy -- Two Views of Ecology, Evolution, and Conservation -- Why I Wrote this Book -- Dualities Still Impede Conservation Efforts -- The Intergovernmental Science-Policy Platform of Biodiversity -- Targets for Conservation -- Evolving Objectives -- Literature Review -- Updating Ecosystem Ecology -- References -- What Can We Learn by Studying Ecosystems that We Can't Learn from Studying Populations? -- The Predator-Prey Conundrum -- The Serengeti Ecosystem -- Evolution in the "Ecological Theater" -- Predator-Prey Interactions Tell Only Part of the Story -- Evolution in the "Thermodynamic Theater" -- References -- A Thermodynamic Definition of Ecosystems -- Ecosystems in the 20th Century -- Cycling of Strontium-90 -- Cesium-137 in Food Chains -- Recycling of Isotopes in Norwegian Sheep -- Ecological Energetics -- Is it Time to Bury the Ecosystem Concept? -- A Thermodynamic Definition of Life -- A Thermodynamic Definition of Ecosystems -- The Phase Transition between Order and Chaos -- References -- Thermodynamic Characteristics of Ecosystems -- Equilibrium -- The Equilibrium Law -- Thermodynamic Equilibrium -- Open Thermodynamic Systems -- Ecosystems are Thermodynamically Open Non-Equilibrium Systems -- Work is Performed by Non-equilibrium Systems -- Advantage of a Thermodynamically Open System -- 4.3 Ecosystems are Entropic -- 4.4 Ecosystems are Cybernetic -- Cybernetic Systems -- Economic Systems are Cybernetic Ecosystems are Cybernetic -- The Ecosystem Feedback Function -- Indirect vs. Direct Feedback -- Deviation Dampening and Amplifying Feedback -- Set Points -- Ecosystems are Autocatalytic -- Ecosystems have Boundaries -- Ecosystems are Hierarchical -- Hierarchy in Physical Systems -- Hierarchy in Ecological Systems -- Common Currencies -- Macro-and Micro-System Models -- Why an Ecosystem Model that Includes Everything is not Possible -- A Nested Marine Community -- Ecosystems are Deterministic -- Ecosystems are Information Rich -- An Engineering Definition of Information -- Information to Facilitate Exchange -- High Energy Information -- Low Energy Information -- Information Theory -- Genetic Information -- Ecosystems are Non-Teleological -- Criticisms of Ecosystem Models -- References -- Ecosystem Control: A Top-Down View -- Two Ways to Look at Systems -- Composing and Decomposing Trophic Webs -- Decomposers in Soil Organic Matter -- Decomposers in Marshes and Mangroves -- Control of Systems -- Top-Down vs. Bottom-Up -- Top-Down Exogenous Control -- Exogenous Impacts and Stability -- Top-Down Endogenous Control -- Endogenous Control through Nutrient Recycling -- Autocatalysis -- Control of Microbial Activity -- Inhibition of Microbial Activity by Leaf Sclerophylly -- Inhibition of Microbial Activity Chemical Defenses -- Inhibition of Microbial Activity by Ecological Stoichiometry -- The Synchrony Principle -- The Decay Law -- Direct Nutrient Cycling -- The Role of Animals -- Indirect Interactions -- Marine Systems -- Nutrient and Energy Recycling -- Exogenous Control -- Control in Lakes -- Control in Managed Ecosystems -- References -- Ecosystem Control: A Bottom-Up View -- Species as Arbitrageurs of Energy -- Relation Between Rate of Flow and Mass in Hydraulic Systems -- Relation Between Population Biomass and Rate of Energy Flow -- Equilibrium -- Mechanisms of Adjustment -- Adjustments and Climate Change -- Bird Populations -- Dis-equilibrium -- Population Instability vs. Ecosystem Instability -- Control by Interactions: Direct vs. Indirect -- Indirect Interactions -- Direct Interactions -- Predator – Prey -- Mutualisms -- Competition -- Decomposition -- Parasitism and Disease -- Commensalism and Amensalism -- Persistence of Negative Interactions -- References -- Ecosystem Stability -- Background -- A Thermodynamic Definition -- Regime Shift -- Metastability -- Pulsed Stability -- Resistance and Resilience -- Species Richness and Functional Stability -- Species Richness and Cultural Values -- Keystone Species, and Population and Ecosystem Stability -- 7.5.1 Keystone Species in the Yellowstone region of Wyoming -- References -- 8. Case Studies of Ecosystem Control and Stability -- Walden -- "Harmony in Nature" -- Feedback Produces Nature's "Harmony" -- Feedback Mechanisms -- Perturbations in Amazon Rain Forests -- Top-Down Control -- The San Carlos Project: A Small-scale, Low Intensity, Short Duration Disturbance -- 8.3.2 The Jarí Project: A Large-scale, High Intensity, Long Duration Disturbance -- Bottom-Up Control -- The El Verde Project -- The Long-Term Ecological Research Project in Puerto Rico -- The Lago Guri Island Project -- The Biological Dynamics of Tropical Rainforest Fragments Project -- What have Case Studies Taught us about Stability of Tropical Ecosystems? -- Tropical Ecosystems are Stable -- Tropical Ecosystems are Unstable -- Energy Flow in Tropical Savannas and Rain Forests -- Insects in Tropical Ecosystems -- Application of Lessons to Other Regions -- Relevance to Temperate Zones -- Relevance to Aquatic Ecosystems -- The Experimental Lakes Project (Ecosystem Control of Species) -- Lake Mendota Studies (Species Control of Ecosystems) -- 8.7 Case Studies as Tests of Thermodynamic Theory -- References -- Entropy and Maximum Power -- Entropy -- 9.2 Entropy in a Steel Bar -- Thermodynamic Equilibrium -- Entropic Gradients -- Capturing and Storing Entropy -- Evapotranspiration and Entropy Reduction -- Life is a Balance between Storing and Releasing Entropy -- The Law of Maximum Entropy Production -- Energy for Metabolism as well as Growth -- Unassisted Entropy Capture is a Unique Characteristic of Life.-9.6Entropy Storage by Ecosystems -- 9.6.1 What Causes Entropy to be Stored? -- 9.7 Capturing Pressure -- 9.8 Entropy and Time -- 9.8.1 Time's Speed Regulator -- Efficiency of Energy Transformations -- Passage of Time for Cats -- 9.9The Maximum Power Principle.-9.10 Optimum Efficiencies for a Truck and its Driver.-9.11 Sustainability -- References -- A Thermodynamic View of Succession -- 10.1 The Population View -- 10.2 The Thermodynamic View -- 10.2.1 Leaf Area Index and Succession -- 10.2.2 Power Output as a Function of Leaf Area Index -- 10.2.3 What Causes Changes in Leaf Area Index? -- 10.2.4 Maximum Entropy Production Principle -- 10.2.5 Successional Ecosystems Move Further from Thermodynamic Equilibrium -- 10.2.6 Entropy Storage by Animals -- 10.3 The Strategy of Ecosystem Development -- A Problem with Odum's Strategy -- Why Power Output Continues to Increase -- Revised Definition of Maximum Power -- Costs of Ecosystem Stabilization -- Transactional Costs -- Succession, Power Output, and Efficiency -- 10.5.1 Kleiber's Law -- Are Ecosystems Spendthrifts? -- Interactions Between Species Facilitate Increase in Power Output -- Facilitation -- Tolerance -- Inhibition -- Intermediate Disturbance Hypothesis -- Nutrient Use Efficiency during Succession -- Succession Following Logging vs Following Agriculture -- 10.10 Thermodynamic View of Succession: Implications for Resource Management -- References -- Panarchy -- The Universal Cycle of Systems -- Panarchy -- Thermodynamic Interpretation of the Sacred Rules -- 11.2.1 Growth and Consolidation -- 11.2.2 Collapse -- Renewal -- Sub-systems -- Panarchy over 2 Billion Years of Evolution -- Consolidation, Bureaucracy and System Collapse -- Bureaucracy in Action (Case Studies) -- Case Study: Panarchy in the Georgia Piedmont -- Thermodynamic Interpretation -- References -- 12. A Thermodynamic View of Evolution -- 12.1 Life – A Physicist's View -- 12.1.1 Life is Produced by Capturing Entropy -- 12.1.2 The Origin of Life -- 12.2 Two Approaches to Evolution -- 12.2.1 The Eco-Evo-Devo View -- 12.2.2 The Thermodynamic View -- 12.2.3 Fitness -- 12.2.4 The "Goal" of Evolution -- 12.3 The Relationship between Species and Environment -- 12.3.1 Evolution's "Theater" -- 12.3.2 Is Evolution Stochastic or Deterministic? -- 12.4 Ecosystem Evolution -- 12.4.1 Succession was the Clue -- 12.4.2 Ecosystems Moved away from Equilibrium -- 12.4.3 Thermodynamic Mechanisms -- 12.4.4 Biological Mechanisms -- 12.4.5 Ecosystem Fitness -- 12.4.6 Ecosystems Evolve One Step at a Time -- 12.5. The Origin of Ecosystems -- 12.5.1 Origin of Feedback Loops -- 12.5.2 Origin of Trophic Levels -- 12.5.3 Why are there Trophic Levels? -- 12.6 The "Goal" of Ecosystem Evolution -- 12.6.1 Conflicting Goals? -- 12.6.2 "Motivations" of Species -- 12.6.3 The Earth Ecosystem -- 12.6.4 Why is there Resistance to the Idea of Ecosystem Evolution? -- 12.6.5 Evolution of Economic Systems -- 12.7 A Thermodynamic Model of Ecosystem Evolution -- 12.7.1 Network Models -- 12.7.2 Increase in Complexity of Trophic Webs -- 12.7.3 Evolution of Trophic Webs -- 12.7.4 Life Moves Ashore -- 12.8 Biodiversity and the Five Great Extinctions -- 12.8.1 The Cretaceous-Tertiary (K-T) Boundary Extinction -- 12.8.2The Amazing Sustainability of Trophic Chains -- 12.8.3 A Test of Thermodynamic Theory -- 12.9 Panarchy and Evolution -- 12.10 Thermodynamic Requirements for Living Systems on Other Planets -- References -- -- Why is Species Diversity Higher in the Tropics? -- 13.1 Tropical Explorations -- 13.2 A Few Theories -- 13.3 A Thermodynamic Explanation -- 13.3.1 The Latitudinal Energy Gradient -- 13.3.2 The Latitudinal Productivity Gradient -- 13.3.3 The Data -- 13.3.4 Other Factors Affecting Productivity -- 13.4 Empirical Evidence for a High Productivity High Diversity Correlation -- 13.5 Humboldt's Enigma -- 13.5.1 Are Productivity and Species Richness Correlated on Tropical -- Mountains? -- 13.6 The Mechanism Linking Productivity and Diversity -- 13.7 Answer to "Why is Species Diversity Higher in the Tropics?" -- 13.7.1 Differences within the Tropics -- 13.8 Why is Species Diversity Low at High Latitudes? -- 13.9 An Economic Perspective on D.
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Εισαγωγή: Η πολυνοσηρότητα ορίζεται ως η συνύπαρξη δύο ή περισσότερων χρόνιων ασθενειών. Καθώς το προσδόκιμο ζωής αυξάνεται, το ίδιο ισχύει και για τον επιπολασμό της πολυνοσηρότητας. Ο εντοπισμός των παραγόντων που σχετίζονται είτε με υψηλή είτε με χαμηλή πολυνοσηρότητα στον πληθυσμό είναι σημαντικός. Υπάρχουν περιορισμένες ενδείξεις σχετικά με τη συσχέτιση της Μεσογειακής διατροφής με την ύπαρξη πολυνοσηρότητας σε ένα άτομο. Οι στόχοι αυτής της διδακτορικής διατριβής ήταν: α) να εκτιμηθεί ο επιπολασμός της πολυνοσηρότητας στην Κύπρο και να εντοπιστούν οι πιο συχνές χρόνιες ασθένειες, β) να εξεταστεί η απήχηση της Μεσογειακής διατροφής στον ενήλικο γενικό πληθυσμό της Κύπρου και η σχέση της με την πολυνοσηρότητα, και γ) να υπολογιστεί η ποιότητα του ύπνου στην Κύπρο και να αξιολογηθεί η σχέση της με την πολυνοσηρότητα. Μέθοδοι: Η μελέτη ήταν συγχρονική και εφαρμόστηκε στρωματοποιημένη δειγματοληψία. Ένα αντιπροσωπευτικό δείγμα ατόμων άνω των 18 ετών ερευνήθηκε κατά την περίοδο 2018-2019 στις πέντε επαρχίες της Κυπριακής Δημοκρατίας που βρίσκονται υπό τον έλεγχο της Κυπριακής κυβέρνησης. Δημογραφικά στοιχεία, πληροφορίες για τη διατροφή, δεδομένα για την ποιότητα του ύπνου, το κάπνισμα και τη σωματική δραστηριότητα, καθώς και η παρουσία χρόνιων, κλινικών και ψυχικών ασθενειών συλλέχθηκαν χρησιμοποιώντας ένα επικυρωμένο ερωτηματολόγιο. Οι ασθένειες ταξινομήθηκαν σύμφωνα με τη διεθνή ταξινόμηση των ασθενειών, 10η αναθεώρηση (ICD-10). Αποτελέσματα: Η μέση ηλικία των 1140 συμμετεχόντων ήταν 41 ± 17 έτη, 56% από αυτούς ήταν γυναίκες, 76% ήταν κάτοικοι αστικής περιοχής, 54% ήταν παντρεμένοι, 64% είχαν ανώτερη εκπαίδευση και το 50% είχαν ετήσιο μέσο εισόδημα €6,500- €19,500. Ο τυποποιημένος ως προς την ηλικία και το φύλο επιπολασμός της πολυνοσηρότητας ήταν 28.6%. Η πολυνοσηρότητα σχετίζεται με την ηλικία (p <0.01), με το υψηλότερο ποσοστό να παρατηρείται σε άτομα ηλικίας 65 ετών και άνω (68.9%). Η πολυνοσηρότητα ήταν υψηλότερη στις γυναίκες παρά στους άνδρες (28.2% έναντι 22.5%, p <0.01), ενώ τα ποσοστά ήταν παρόμοια στις αστικές και στις αγροτικές περιοχές (26.4% έναντι 23.8%, p = 0.40). Οι πιο διαδεδομένες χρόνιες ασθένειες μεταξύ ατόμων με πολυνοσηρότητα ήταν η υπερλιπιδαιμία (44.7%), ακολουθούμενη από υπέρταση (37.5%), γαστρική παλινδρόμηση (23.9%) και ασθένειες του θυρεοειδούς (22.2%), ενώ οι πιο συνηθισμένοι συνδυασμοί ασθενειών ήταν στο κυκλοφορικό και ενδοκρινολογικό σύστημα. Το προφίλ του ατόμου με πολυνοσηρότητα δείχνει ένα άτομο μεγαλύτερης ηλικίας, με υψηλότερο δείκτη μάζας σώματος, που είναι καπνιστής και έχει υψηλότερο μισθό. Η μέση βαθμολογία της Μεσογειακής Διατροφής ήταν 15.5 ± 4.0 με τους άνδρες και τους κατοίκους των αγροτικών περιοχών να έχουν μεγαλύτερη συμμόρφωση στη Μεσογειακή Διατροφή σε σύγκριση με τις γυναίκες και τους κατοίκους των αστικών περιοχών, αντίστοιχα (p<0.05). Το να έχει ένα άτομο μεγαλύτερη συμμόρφωση στη Μεσογειακή Διατροφή σχετίζεται με χαμηλότερες πιθανότητες πολυνοσηρότητας και αυτό το αποτέλεσμα ήταν στατιστικά σημαντικό ακόμη και μετά την προσαρμογή των αποτελεσμάτων για την ηλικία, το φύλο, τις συνήθειες καπνίσματος και τη σωματική δραστηριότητα (OR = 0.68, 95% CI: 0.46, 0.99). Η μέση βαθμολογία ποιότητας ύπνου των συμμετεχόντων ήταν 5 (q1=3, q3=7) με τη μέγιστη βαθμολογία να είναι 17. Οι γυναίκες, οι κάτοικοι της Πάφου και οι παντρεμένοι είχαν χαμηλότερη ποιότητα ύπνου (p <0.05). Η καλύτερη ποιότητα ύπνου συσχετίστηκε με χαμηλότερες πιθανότητες πολυνοσηρότητας, ακόμη και μετά την προσαρμογή για δημογραφικούς και κοινωνικοοικονομικούς παράγοντες καθώς και τρόπο ζωής (OR = 2.21, 95% CI: 1.55, 3.16). Συμπεράσματα: Περισσότερο από το ένα τέταρτο του γενικού πληθυσμού της Κύπρου έχει πολυνοσηρότητα και το ποσοστό αυτό είναι σχεδόν 70% μεταξύ των ατόμων άνω των 65 ετών. Η πολυνοσηρότητα είναι σχετικά συχνή ακόμη και σε νεότερες ηλικίες. Η συμμόρφωση στη Μεσογειακή διατροφή και η καλύτερη ποιότητα του ύπνου σχετίζονται με χαμηλότερο κίνδυνο πολυνοσηρότητας. Τα αποτελέσματα της μελέτης υπογραμμίζουν την ανάγκη για στρατηγικές πρόληψης και προγράμματα ευαισθητοποίησης για την υγεία για ολόκληρο τον πληθυσμό. Προγράμματα πρόληψης και οδηγίες πρακτικής δημόσιας υγείας στην Κύπρο και αλλού θα πρέπει να λάβουν υπόψη τα παραπάνω αποτελέσματα και θα πρέπει να αναπτυχθούν κατευθυντήριες γραμμές για τη δημόσια υγεία υπογραμμίζοντας τη σημασία της τήρησης της Μεσογειακής διατροφής και της καλής ποιότητας του ύπνου και της συσχέτισης τους με την πολυνοσηρότητα. ; Introduction: Multimorbidity is defined as the co-existence of two or more chronic conditions. As life expectancy is increasing so does the prevalence of multimorbidity. Identifying the factors associated with the presence of multimorbidity is important. Furthermore, limited evidence exists on the association of Mediterranean Diet or of quality of sleep with the development of multimorbidity in an individual. The aim of this PhD dissertation work was: a) to estimate the prevalence of multimorbidity in Cyprus and identify the most prevalent diseases; b) to evaluate the level of adherence to the Mediterranean Diet in the adult general population of Cyprus and investigate its relationship with multimorbidity; and c) to assess the quality of sleep in Cyprus and examine its association with multimorbidity. Methods: This is a cross-sectional study and a stratified sampling procedure was implemented. A representative sample of individuals over 18 years old was surveyed during 2018-2019 in the five government-controlled municipalities of the Republic of Cyprus. Demographic data, dietary information, data on sleep quality, smoking, physical activity, stress, and quality of life, as well as the presence of chronic, clinical, and mental conditions were collected using a validated questionnaire. Diseases were classified according to the International Classification of Diseases, 10th Revision (ICD-10). Results: The mean age of the n=1140 participants was 41 ± 17 years old, 56% of them were women, 76% lived in an urban area, 54% were married, 64% had completed a higher education, and 50% had a yearly average income in the range €6,500 - €19,500. The age and sex standardized prevalence of multimorbidity was 28.6%. Multimorbidity was associated with age (p<0.01), with the highest rate observed among people aged 65 years old or older (68.9%). Multimorbidity was higher in women than men (28.2% vs. 22.5%, p<0.01) but similar in urban and rural regions (26.4% vs. 23.8%, p=0.40). The most prevalent chronic diseases among people with multimorbidity were hyperlipidemia (44.7%), followed by hypertension (37.5%), gastric reflux (23.9%), and thyroid diseases (22.2%), while the most common combinations of diseases were in the circulatory and endocrine systems. The profile of the multimorbid individual indicated this to be a person at an older age, with a higher BMI, being a current smoker, and having a higher salary. The average Mediterranean Diet score was 15.5 ± 4.0 with men and residents of rural regions being more adherent to the Mediterranean Diet, compared to women and residents of urban regions, respectively (p<0.05). Being in the higher tertile of adherence to the Mediterranean Diet was associated with lower odds of multimorbidity, compared to the lower tertile, and this result was statistically significant even after adjusting for age, sex, smoking habits, and physical activity (adjusted OR=0.68, 95% CI: 0.46, 0.99). The median Pittsburgh Sleep Quality score of the participants was 5 (q1=3, q3=7) with the maximum score being 17. Women, residents of Paphos, and married people had a poorer quality of sleep (p<0.05). Having a better quality of sleep was associated with lower odds of multimorbidity, even after adjusting for demographics, socioeconomic and lifestyle factors (adjusted OR=2.21, 95% CI: 1.55, 3.16). Conclusions: More than one quarter of the general population of Cyprus has multimorbidity, and this rate is almost 70% among the elderly, with multimorbidity being relatively common even in younger ages too. Adherence to the Mediterranean Diet and better quality of sleep were associated with lower risk of multimorbidity. The results of the study underline the need for prevention strategies and health awareness programs for the entire population, including in relation to dietary and sleeping habits. Prevention programs and public health guidelines in Cyprus and elsewhere should take these results into account and public health guidelines should be developed in regards to the importance of adherence to the Mediterranean Diet and good quality of sleep, highlighting their association with multimorbidity. Further research on multimorbidity should be carried out, including in specific subgroups of the population. ; Completed
ABSTRAKPenelitian ini bertujuan untuk mengetahui: (1) Pengaruh Pendapatan Asli Daerah (PAD) terhadap Belanja Modal pada Kabupaten/Kota di Provinsi Kalimantan Barat Tahun 2015-2019. (2) Pengaruh Dana Alokasi Umum (DAU) terhadap Belanja Modal pada Kabupaten/Kota di Provinsi Kalimantan Barat Tahun 2015-2019. (3) Pengaruh Dana Alokasi Khusus (DAK) terhadap Belanja Modal pada Kabupaten/Kota di Provinsi Kalimantan Barat Tahun 2015-2019. (4) Pengaruh Pertumbuhan Ekonomi terhadap Belanja Modal pada Kabupaten/Kota di Provinsi Kalimantan Barat Tahun 2015-2019.Data penelitian terdiri dari Pendapatan Asli Daerah (PAD), Dana Alokasi Umum (DAU), Dana Alokasi Khusus (DAK), Pertumbuhan Ekonomi, dan Belanja diunduh dari situs Badan Pusat Statistik. Populasi dalam penelitian ini adalah seluruh Kabupaten/Kota di Provinsi Kalimantan Barat yang berjumlah 14 Kabupaten/Kota. Teknik pengumpulan data dengan menggunakan metode dokumentasi dan diperoleh 70 sampel. Uji analisis data menggunakan uji normalitas, uji multikolinieritas, dan uji heterokedastisitas. Uji hipotesis menggunakan analisis regresi linear berganda dan uji hipotesis dengan bantuan software SPSS 25.Hasil penelitian adalah: (1) Pendapatan Asli Daerah (PAD) berpengaruh terhadap belanja modal. (2) Dana Alokasi Umum (DAU) berpengaruh terhadap belanja modal. (3) Dana Alokasi Khusus tidak berpengaruh terhadap belanja modal. (4) Pertumbuhan ekonomi tidak berpengaruh terhadap belanja modal.Kata Kunci: Pendapatan Asli Daerah (PAD), Dana Alokasi Umum (DAU), Dana Alokasi Khusus (DAK), Pertumbuhan Ekonomi, Belanja Modal. DAFTAR PUSTAKAAbdullah, S., & Abdul H., 2004. Pengaruh Dana Alokasi Umum (DAU) dan Pendapatan Asli Daerah (PAD) Terhadap Belanja Pemerintah Daerah: Studi Kasus pada Kabupaten /Kota di Jawa-Bali. Jurnal Simposium Nasional Akuntansi (SNA) VI, hal. 1140-1159.Adyatma, E., & Oktaviani, R. M. (2015). Pengaruh Pendapatan Asli Daerah dan Dana Alokasi Umum Terhadap Belanja Modal Dengan Pertumbuhan Ekonomi Sebagai Pemoderasi. Jurnal Dinamika Akuntansi, Keuangan Dan Perbankan, 4(2), 190– 205.Alfasadun, Hardiningsih, P., & Wakhidati, I. N. (2017). Karakteristik Daerah Terhadap Belanja Modal Dengan Pemoderasi Pertumbuhan Ekonomi. Jurnal Dinamika Akuntansi, Keuangan Dan Perbankan, 6(1), 53–66.Ardhian, S., & Artikel, I. (2012). AAJ 2 (1) (2013) Accounting Analysis Journal Pengaruh PAD, DAU dan DAK Terhadap Pengalokasian Anggaran Belanja Modal. 2(1).Asih, S., & Irawan. (2018). Pengaruh Kontribusi Pajak Daerah, Pendapatan Asli Daerah, Retribusi Daerah dan Bagi Hasil Pajak Terhadap Belanja Daerah Dengan Pertumbuhan Ekonomi Sebagai Variabel Moderating Pemerintah Kabupaten dan Kota. Jurnal Akuntansi Bisnis & Publik, 9(1), 177–191Darwanis, D., & Saputra, R. (2014). 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The article reads The Handmaid's Tale and The Testaments as a response to changes in the feminist movement. Less radical than their mothers' generation, second-wave feminists' daughters often abandoned the struggle for equality and focused on homemaking. Nevertheless, the 1990s saw a resurgence of the women's liberation movement known as the third wave. These feminism(s) significantly redefined the notion of womanhood and emphasised the diversity of the female. After 2010, critics argue, third-wave feminism entered the fourth wave. This analysis of The Handmaid's Tale focuses on Offred's relationship with her mother, which is representative of the wider phenomenon of the Backlash. It investigates how the mother and her generation influenced the maternal choices of the Handmaid and discusses the trauma of child removal suffered by Offred. The final section examines The Testaments through the lens of third-wave feminism and analyzes the plight of Offred's daughters, focusing on their attitudes towards womanhood and maternity. ; Članek obravnava romana Deklina zgodba in Testamenti kot odziv na spremembe v feminističnem gibanju. Hčere feministk drugega vala, ki so bile manj radikalne kot njihove matere, so pogosto opustile boj za enakost in se osredotočile na gospodinjstvo. Kljub temu smo bili v devetdesetih letih dvajsetega stoletja priča ponovni oživitvi ženskega osvobodilnega gibanja, ki ga imenujemo tretji val feminizma. Ti feminizmi so bistveno preoblikovali idejo ženskosti in poudarili raznovrstnost žensk. Kritiki trdijo, da je po letu 2010 tretji val feminizma vstopil v četrti val. Ta analiza romana Deklina zgodba se osredotoča na Offredin odnos s svojo materjo, ki je reprezentativen za širši pojav Nasprotovanja. Preiskuje, kako sta mati in njena generacija vplivali na odločitve o materinstvu Dekel in obravnava travmo premestitve otroka, ki jo je trpela Offred. Zadnji del preučuje roman Testamenti skozi prizmo tretjega vala feminizma in analizira težek položaj Offredinih hčera ter se osredotoča na njun odnos do ženskosti in materinstva. ; e.feldman@uwb.edu.pl ; University of Białystok, Poland ; Alford, Allison M., and Meredith Marko Harrigan. 2019. "Role Expectations and Role Evaluations in Daughtering: Constructing the Good Daughter." Journal of Family Communication 19 (4): 348–61. https://doi.org/10.1080/15267431.2019.1643352. ; Allit, Patrick. 2016. "Phyllis Schlafly: American feminism's great anti-heroine." The Spectator, September 10, 2016. https://www.spectator.co.uk/article/death-of-an-anti-feminist. ; Atwood, Margaret. (1985) 1987. The Handmaid's Tale. London: Virago Press. ; —. 2019a. The Testaments. London: Chatto & Windus. ; —. 2019b. "Margaret Atwood: For a long time we were moving away from Gilead." Interview by Lisa Allardice. The Guardian, September 20, 2019. https://www.theguardian.com/books/2019/sep/20/margaret-atwood-moving-away-from-gilead-testaments. ; Badinter, Elisabeth. 2011. The Conflict. How Modern Motherhood Undermines the Status of Women. Translated by Adriana Hunter. New York: Metropolitan Books. ; Barzilai, Shuli. 2005. "The Bluebeard Syndrome in Atwood's Lady Oracle: Fear and Femininity." Marvels & Tales 19 (2): 249–73. ; Bloom, Harold. 2004. Margaret Atwood's The Handmaid's Tale: Bloom's Guides. New York: Chelsea House. ; Bouson, J. Brooks. 1993. "The Misogyny of Patriarchal Culture in The Handmaid's Tale." In Brutal Choreographies: Oppositional Strategies and Narrative Design in the Novels of Margaret Atwood, 135–58. Amherst, MA: University of Massachusetts Press. ; Boyd, Carol J. 1989. "Mothers and Daughters: A Discussion of Theory and Research." Journal of Marriage and Family 51 (2): 291–301. https://doi.org/10.2307/352493. ; Braithwaite, Ann. 2002. "The personal, the political, third-wave and postfeminisms." Feminist Theory 3 (3): 335–44. https://doi.org/10.1177%2F146470002762492033. ; Brans, Jo. 2006. "Using What You're Given." In Waltzing Again: New and Selected Conversations with Margaret Atwood, edited by Earl G. Ingersoll, 79–89. Princeton, NJ: Ontario Review Press. ; Budgeon, Shelley. 2011a. Third Wave Feminism and the Politics of Gender in Late Modernity. London: Palgrave Macmillan. ; —. 2011b. "The Contradictions of Successful Femininity: Third-Wave Feminism, Postfeminism and 'New' Femininities." In New Femininities: Postfeminism, Neoliberalism and Subjectivity, edited by Rosalind Gill and Christina Scharff, 279–92. New York: Palgrave Macmillan. ; Chamberlain, Prudence. 2017. The Feminist Fourth Wave: Affective Temporality. London: Palgrave Macmillan. ; Chodorow, Nancy J. 1999. The Reproduction of Mothering. Berkeley: University of California Press. ; Chodorow, Nancy J., and Susan Contratto. 1989. "The Fantasy of the Perfect Mother." In Feminism and Psychoanalytic Theory, edited by Nancy J. Chodorow, 79–96. New Haven: Yale University Press. ; Cixous, Hélène. 1976. "The Laugh of the Medusa." Translated by Keith and Paula Cohen. Signs 1 (4): 875–93. https://www.jstor.org/stable/3173239. ; Dicker, Rory, and Alison Piepmeier. 2003. "Introduction." In Catching a Wave: Reclaiming Feminism for the 21st Century, edited by R. Dicker and A. Piepmeier, 3–28. Boston: Northeastern University Press. ; Ducret, Diane. 2016. Zakazane ciało. Historia męskiej obsesji. Kraków: Znak Horyzont. ; Enright, Anne. 2019. "The Testaments by Margaret Atwood review: A dazzling follow-up to The Handmaid's Tale." The Guardian, September 10, 2019. https://www.theguardian.com/books/2019/sep/10/thetestaments-by-margaret-atwood-review. ; Evans, Elizabeth. 2015. 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At the beginning of the twentieth century, the industrialised countries had no guidelines for protecting children. From the time of its creation, the League of Nations has been interested in improving the situation of children and expanding their rights. To accomplish just that, the Child Welfare Committee was created in 1919. The creation of said Committee was the first action taken by the international community in a matter that was not to be left to the sole discretion of the states. That same year, the Englishwoman Eglantyne Jebb and her sister Dorothy founded Save the Children, which evolved very quickly and, in 1920, gave way to the establishment of the International Save the Children Union, headquartered in Geneva. In 1924, the League of Nations approved the Geneva Declaration of the Rights of the Child, drafted by Eglantyne Jebb herself. The first big challenge that said legal doctrine and the partnership in favour of children's rights came up against was the Spanish Civil War. The first great movement of refugee children featured the children of the Basque Country, who were welcomed in Great Britain. Let us take a look at this case as an example of the practical side of the first legal doctrine on children's rights. On 21 May 1937, over 3,800 Basque children arrived at the port of Southampton, accompanied by just over two hundred adults. The British created the "Basque Children's Committee", chaired by the Duchess of Atholl, and the Basque government was in charge of organising the escape expedition. These children lived for four months in tents in a camp in Eastleigh, supported by voluntary contributions, particularly by left-wing English organisations, before they were sent to homes and organised 'colonies' spread throughout the United Kingdom. ; roldan.jimeno@unavarra.es ; Universidad Pública de Navarra (Public University of Navarre, Spain) ; --- , Dimensions transnationales et locales de l'histoire des droits de l'enfant. La Société des Nations et les cultures politiques canadiennes, "Genèses" 2008, 71. ; --- , International Child Saving, [in:] Fass P. (ed.), The Routledge History of Childhood in the Western World, London 2015. ; --- , Niños vascos evacuados a Gran Bretaña, 1937-1940, Bilbao, Asociación de Niños Evacuados el 37, 1991. ; --- , The 'Niños vascos'. Memory and memorialisation of the Basque refugee children of the Spanish Civil War in the UK, Vitoria-Gasteiz 2011. ; --- , The Rise of Coordinated Action for Children in War and Peace. 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(dir.), Protéger l'enfant : raison juridique et pratiques socio-judiciaires, XIXe-XXe siècles, Rennes 1996. ; Droux J., L'internationalisation de la protection de l'enfance: acteurs, concurrences et projets transnationaux (1900–1925), "Critique Internationale" 2011, 52. ; Dupont-Bouchat M.-S., Le mouvement international en faveur de la protection de l'enfance (1880-1914), "Revue d'histoire de l'enfance irrégulière" 2003, 5. ; Dupont-Bouchat M.-S., Pierre É. (ed.), Enfance et justice au XIXe siècle : essais d'histoire comparée de la protection de l'enfance (1820-1914), France, Belgique, Pays-Bas, Canada, Paris 2001. ; Dwork D., Children with a Star: Jewish Youth in Nazi Europe, New Haven and London 1991. ; Dwork D., War Is Good for Babies & Other Young Children: A History of the Infant and Child Welfare Movement in England. 1898-1918, London and New York 1987. ; Freud A., Burlingham D., War and Children, New York 1943. ; Fuller E., The Right of the Child. 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